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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995
This is a free-to-download, web-friendly version of L73, (Fourth edition, published 2012). This version has been adapted for online use from HSEs current printed version. You can buy the book at www.hsebooks.co.uk and most good bookshops. ISBN 978 0 7176 6459 7 Price 17.50 This new edition includes changes to the over-three-day reporting requirement under regulation 3(2) that becomes law on 6 April 2012. It also brings the associated guidance up to date, particularly in relation to the changes in reporting arrangements and the new online service.* The introduction now contains a useful list of reportable major injuries, dangerous occurrences and diseases for easy reference. * To make a report, go to www.hse.gov.uk/riddor. A telephone service can be used to report fatal and major injuries only. Call the Incident Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am to 5 pm). See paragraphs 55-90 of the guidance.

HSE Books

Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Crown copyright 2012 First published 1996 Second edition 1999 Third edition 2008 Reprinted with amendments 2009 Fourth edition 2012 ISBN 978 0 7176 6459 7 You may reuse this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view the licence visit www.nationalarchives.gov.uk/doc/opengovernment-licence/, write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email psi@nationalarchives.gsi.gov.uk. Some images and illustrations may not be owned by the Crown so cannot be reproduced without permission of the copyright owner. Enquiries should be sent to copyright@hse.gsi.gov.uk.

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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Contents

Contents Preface
8

Introduction

9 9 11 14

Summary of the main duties Where the Regulations apply What you need to report Regulation 2 Interpretation 11

Regulation 1 Citation and commencement 14

Notes on selected definitions 17 Violence 17 Offshore installation 18 Offshore workplace 18 Operator of a vehicle 18 Pipelines and pipeline works 19 Railways 19 Responsible person 19 Self-employed people 19 Offshore installations 22 Regulation 2(2)(c): Arising out of or in connection with work Regulation 2(3): Working offshore 24

22

Regulation 3 Notification and reporting of injuries and dangerous occurrences 24 Death 25 25 26 26 Major injury to a person at work Injuries to people not at work Dangerous occurrences Incidents on public roads Notification and reporting Over-seven-day injuries 26 26 26 27 28 29 29

Injuries at a hospital to people not at work

Reporting to the enforcing authority

Regulation 4 Reporting of the death of an employee Regulation 5 Reporting of cases of disease When to report 30 30
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The self-employed

Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Making a report The role of doctors

30 31 31 31 32

Regulation 6 Reporting of gas incidents

Regulation 6(1): Gas incident causing death or injury Regulation 6(2): Gas fittings found to be dangerous Reporting a gas incident Regulation 7 Records Location of records Use of records 35 33 34 34 34 33

Ways of making and keeping records Making records available

Regulation 8 Additional provisions relating to mines and quarries Regulation 9 Additional provisions relating to offshore workplaces

35 35

Regulation 10 Restrictions on the application of regulations 3, 4, 5 and 7(1)(aa) 35 Injury under medical supervision Avoiding dual reporting Self-employed people 37 37 36 36 Accidents caused by moving vehicles on the road

Regulation 11 Defence in proceedings for an offence contravening these Regulations 37 Regulation 12 Extension outside Great Britain Regulation 13 Certificates of exemption 38 37

Regulation 14 Repeal and amendment of provisions in the Regulation of Railways Act 1871, the Railway Employment (Prevention of Accidents) Act 1900 and the Transport and Works Act 1992 38 Regulation 15 Revocations, amendments and savings 39

Schedule 1 Major injuries

40 40 42

Brief explanation of main terms used

Schedule 2 Dangerous occurrences


Part I General 42 Lifting machinery etc 42 Pressure systems 42 Freight containers 42 Overhead electric lines 42 Electrical short circuit 42 Explosives 42 Biological agents 43 Malfunction of radiation generators etc Breathing apparatus 44 Diving operations 44 Collapse of scaffolding 44 Train collisions 44 Wells 44
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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Pipelines or pipeline works 45 Fairground equipment 45 Carriage of dangerous substances by road

45

Dangerous occurrences which are reportable except in relation to offshore workplaces 46 Collapse of building or structure 46 Explosion or fire 46 Escape of flammable substances 46 Escape of substances 46 Guidance notes on dangerous occurrences 46 Lifting machinery (paragraph 1) 47 Pressure systems (paragraph 2) 47 Freight containers (paragraph 3) 48 Overhead electric lines (paragraph 4) 48 Electrical short circuit (paragraph 5) 48 Explosives (paragraph 6) 48 Biological agents (paragraph 7) 49 Malfunction of radiation generators etc (paragraph 8) 49 Breathing apparatus (paragraph 9) 50 Diving operations (paragraph 10) 50 Collapse of scaffolding (paragraph 11) 50 Train collisions (paragraph 12) 50 Wells (paragraph 13) 50 Pipelines or pipeline works (paragraph 14) (see also Appendices 3 and 4) 51 Carriage of dangerous goods by road: tankers and tank containers (paragraph 16) 52 Carriage of dangerous substances by road other than by tankers and tank containers (paragraph 17) 52 Collapse of building or structure (paragraph 18) 52 Explosion or fire (paragraph 19) 53 Escape of flammable substances (paragraph 20) 53 Escape of substances (paragraph 21) 53 Part II Dangerous occurrences which are reportable in relation to mines 53 Fire or ignition of gas 53 Escape of gas 54 Failure of plant or equipment 54 Breathing apparatus 54 Injury by explosion of blasting material etc 54 Use of emergency escape apparatus 55 Inrush of gas or water 55 Insecure tip 55 Locomotives 55 Falls of ground 55 Part III Dangerous occurrences which are reportable in relation to quarries 55 Collapse of storage bunkers 55

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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Sinking of craft 55 Injuries 55 Projection of substances outside quarry 55 Misfires 55 Insecure tips 56 Movement of slopes or faces 56 Explosions or fires in vehicles or plant 56 Part IV Dangerous occurrences which are reportable in respect of relevant transport systems 56 Accidents to passenger trains 56 Accidents not involving passenger trains 56 Accidents involving any kind of train 56 Accidents and incidents at level crossings 57 Accidents involving the permanent way and other works on or connected with a relevant transport system 57 Accidents involving failure of the works on or connected with a relevant transport system 58 Incidents of serious congestion 58 Incidents of signals passed without authority 58 Part V Dangerous occurrences which are reportable in respect of an offshore workplace 58 Release of petroleum hydrocarbon 58 Fire or explosion 59 Release or escape of dangerous substances 59 Collapses 59 Dangerous occurrences 59 Collisions 59 Subsidence or collapse of seabed 59 Loss of stability or buoyancy 59 Evacuation 59 Falls into water 59 Guidance notes on dangerous occurrences offshore 60 Release of petroleum hydrocarbon (paragraph 73) 60 Fire or explosion (paragraph 74) 60 Release or escape of dangerous substances (paragraph 75) Collisions (paragraph 79) 61 Evacuation (paragraph 82) 61

61

Schedule 3 Reportable diseases


Part I Occupational diseases 62

62 75

Guidance on diseases/conditions in Schedule 3, Part I

Part II Diseases additionally reportable in respect of offshore workplaces 80

Schedule 4 Records

81

Part I Particulars to be kept in records of any event which is reportable under regulation 3 81

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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Part II Particulars to be kept in records of instances of any of the diseases specified in Schedule 3 and reportable under regulation 5 81 Part III Particulars to be kept in records of any injuries which must be recorded under regulation 7(1)(aa) 82 Regulation 8 83

Schedule 5 Additional provisions relating to mines and quarries 83


Regulation 9 85 85 Disturbance of site

Schedule 6 Additional provisions relating to offshore workplaces 85 Schedule 7 Enactments or instruments requiring the notification of events which are not required to be notified or reported under these Regulations 86
Regulation 10(4) Regulation 15 87 87 87 87 Part I Revocations Part II Amendments 86

Schedule 8 Revocations and amendments Appendix 1 Contacting HSE


88 89

Appendix 2 Certificate of exemption

Pipelines to which these Regulations do not apply

91

Appendix 3 Extracts from the Pipelines Safety Regulations 1996 91 Appendix 4 References Further information
94 92 93

Appendix 5 Acronyms and abbreviations

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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Preface

This new edition includes changes to the over-three-day reporting requirement under regulation 3(2) that becomes law on 6 April 2012. Further details are given in paragraphs 6167. It also brings the associated guidance up to date, particularly in relation to changes in reporting arrangements and the new online reporting service. Further details are provided in paragraphs 5590 of the guidance.

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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Introduction

1 This publication is a detailed guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (as Amended) (RIDDOR). Amendments to regulation 3(2), regulation 7 and Schedule 4 of RIDDOR will come into force on 6 April 2012. These changes increase the period after which lost-time injuries to people at work must be reported from more than three consecutive days, to more than seven consecutive days. The details of the over-three-day injuries listed in the new Schedule 4 to the regulations, must still be formally recorded. 2 The HSE website (www.hse.gov.uk/riddor/what-must-i-report.htm)1 gives information about what must be reported, as well as what does not have to be reported. Most people will find this sufficient to understand what they need to do. This guide contains technical background information and advice on the interpretation of the regulations. 3 The Regulations are made under the Health and Safety at Work etc Act 1974 (HSW Act). They apply a single set of reporting requirements to all work activities in Great Britain and in the offshore oil and gas industry. The main purpose of the Regulations is to generate reports to the Health and Safety Executive (HSE) and to local authorities (also referred to as the enforcing authorities in the relevant parts of this guide). The reports alert the enforcing authorities to individual incidents. They also provide data which is used to indicate where and how risks arise and to show up trends. This enables the enforcing authorities to target their activities effectively and to advise employers on strategies to help prevent injuries, ill health and accidental loss. 4 (a) (b) The guide sets out: a summary of the main requirements; and the full text of the Regulations and Schedules, together with detailed guidance notes.

5 Rail health and safety responsibility transferred to the Office of Rail Regulation (ORR) on 1 April 2006. Rail RIDDOR reports continue to be made directly to HM Railway Inspectorate, now part of ORR. A separate, detailed guide is available on the application of the Regulations to railways, tramways, trolley vehicle systems and guided transport systems directly from ORR (www.rail-reg.gov.uk).2

Summary of the main duties


6 This section summarises what the Regulations require and gives pointers to more detailed notes accompanying the full text of the Regulations. 7 The Regulations apply to events which arise out of or in connection with work activities covered by the HSW Act. The terms work and at work are defined in the HSW Act, as modified. Modifications include The Police (Health and Safety)
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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Regulations 1999 and the Health and Safety (Training for Employment) Regulations 1990 and include work as an employee or self-employed person, work experience provided in connection with a training course or programme (except simulated work experience provided directly by an educational establishment on its premises as part of a course) and training for employment. An extended definition of at work applies for the purposes of these Regulations to people at offshore workplaces (see regulation 2(3)). 8 Whenever any of the following events arise out of or in connection with work (see regulation 2(2)(c) and paragraph 35), it must be reported to the enforcing authority. To make a report, go to www.hse.gov.uk/riddor. A telephone service can be used to report fatal and major injuries only call the Incident Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am to 5 pm) (see page 11). A record must also be kept (see regulation 7). 9 If (a), (b), (c) or (d) happens, the enforcing authority must first be notified by the quickest practicable means eg online: (a) the death of any person as a result of an accident, whether or not they are at work (see regulation 3(1); (b) someone who is at work suffers a major injury as a result of an accident (see regulation 3(1). Major injuries are listed in Schedule 1; (c) someone who is not at work (eg a member of the public) suffers an injury as a result of an accident and is taken from the scene to a hospital or, if the accident happens at a hospital, suffers a major injury (see regulation 3(1); (d) one of a list of specified dangerous occurrences takes place (see regulation 3(1). Dangerous occurrences are events, which do not necessarily result in a reportable injury, but have the potential to cause significant harm. They are listed in Schedule 2; (e) someone at work is unable to do the full range of their normal duties for more than seven days as a result of an injury (an over-seven-day injury) caused by an accident at work (see regulation 3(2); (f) the death of an employee if this occurs some time after a reportable injury which led to that employees death, but not more than one year afterwards (see regulation 4); or a person at work suffers one of a number of specified diseases, provided that a doctor diagnoses the disease and (except for certain communicable diseases reportable only offshore) the persons job involves a specified work activity (see regulation 5). The specified diseases and corresponding work activities are set out in Schedule 3. Those reportable only offshore are listed in Part II of that Schedule. 10 You must keep a record of the accident if the worker has been incapacitated for more than three consecutive days (not counting the day in which the accident happened). If you are an employer, who must keep an accident book under the Social Security (Claims and Payments) Regulations 1979, that record can be treated as a record for the purposes of RIDDOR. 11 The duty to notify and report these events rests with the responsible person. The responsible person is defined in regulation 2 and may (although special arrangements apply in the case of a mine, quarry, closed tip, diving operation, offshore installation, well, pipeline or road vehicle carrying a dangerous substance) be the employer of an injured person, a self-employed person, or someone in control of premises where work is carried on (this will depend on the circumstances and on who dies or suffers a reportable injury or disease). A guide to this is given in paragraphs 2728.

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Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

12 In addition to the requirements outlined in paragraph 7, regulation 6 requires that a report must be made in the following circumstances: (a) a conveyor of flammable gas through a fixed pipe distribution system, or the filler, importer or supplier of liquefied petroleum gas (LPG) in a refillable container, must report if they learn that someone has died or suffered a major injury arising out of, or in connection with, that gas unless the death or injury falls within the scope of regulation 3(1); any registered installation business must report if it finds that there is, in any premises, a gas fitting or associated flue or ventilation arrangement which could be dangerous in a way specified in regulation 6(2).

(b)

Where the Regulations apply


13 The Regulations apply to Great Britain but not to Northern Ireland, where separate Regulations have been made. They also apply to certain work activities carried out in United Kingdom territorial waters adjacent to Great Britain and in the United Kingdom sector of the Continental Shelf (see regulation 12). These are the work activities specified by the Health and Safety at Work etc Act 1974 (Application outside Great Britain) Order 2001 (SI 2001/2127) (the 2001 Order) which include, for example, offshore installations, wells, pipelines and pipeline works, and related activities. The Regulations also apply to mines under the sea and certain other activities in territorial waters, such as the loading and unloading of ships, the construction and repair of ships, the construction and repair of buildings or other structures, and certain diving operations.

What you need to report


Here is a quick summary of the main reportable injuries, dangerous occurrences and diseases for easy reference. How to make a report To make a report, go to www.hse.gov.uk/riddor. A telephone service can be used to report fatal and major injuries only call the Incident Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am to 5 pm). See page 11. Deaths All deaths arising out of or in connection with work. Reportable major injuries (a) (b) (c) (d) (e) (f) (g) (h) Fracture other than to fingers, thumbs or toes Amputation Dislocation of the shoulder, hip, knee or spine Loss of sight (temporary or permanent) Chemical or hot metal burn to the eye or any penetrating injury to the eye Injury resulting from an electric shock or electrical burn leading to unconsciousness or requiring resuscitation or admittance to hospital for more than 24 hours Any other injury: leading to hypothermia, heat-induced illness or unconsciousness; or requiring resuscitation; or requiring admittance to hospital for more than 24 hours Unconsciousness caused by asphyxia or exposure to a harmful substance or biological agent

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A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

(i) (j)

Acute illness requiring medical treatment, or loss of consciousness arising from absorption of any substance by inhalation, ingestion or through the skin Acute illness requiring medical treatment where there is reason to believe that this resulted from exposure to a biological agent or its toxins or infected material

Over-three-day injuries and over-seven-day injuries From 6 April 2012, the reporting requirement for over-three-day injuries to workers, will change to over-seven-day injuries. From then, you must report work-related injuries where a worker has been incapacitated for more than seven consecutive days. You must still keep a record of the accident if the worker has been incapacitated for more than three consecutive days. The deadline by which an over-seven-day injury must be reported is 15 days after the accident. Reportable dangerous occurrences (a) Collapse, overturning or failure of load-bearing parts of lifts and lifting machinery (b) Explosion, collapse or bursting of any closed vessel or associated pipework (c) Failure of any freight container in any of its load-bearing parts (d) Plant or equipment coming into contact with overhead power lines (e) Electrical short circuit or overload causing fire or explosion (f) Any unintentional explosion, misfire, failure of demolition to cause the intended collapse, projection of material beyond a site boundary, injury caused by an explosion (g) Accidental release of a biological agent likely to cause severe human illness (h) Failure of industrial radiography or irradiation equipment to de-energise or return to its safe position after the intended exposure period (i) Malfunction of breathing apparatus while in use or during testing immediately before use (j) Failure or endangering of diving equipment, the trapping of a diver, an explosion near a diver, or an uncontrolled ascent (k) Collapse or partial collapse of a scaffold over 5 metres high, or erected near water where there could be a risk of drowning after a fall (l) Unintended collision of a train with any vehicle (m) Dangerous occurrence at a well (other than a water well) (n) Dangerous occurrence at a pipeline (o) Failure of any passenger restraint or load-bearing part of fairground equipment, or derailment or unintended collision of cars or trains (p) A road tanker carrying a dangerous substance overturns, suffers serious damage, catches fire or the substance is released (q) A dangerous substance being conveyed by road is involved in a fire or released The following dangerous occurrences are reportable except in relation to offshore workplaces: (r) (s) (t) Unintended collapse of: any building or structure under construction, alteration or demolition where over five tonnes of material falls; a wall or floor in a place of work; any false-work Explosion or fire causing suspension of normal work for over 24 hours Sudden, uncontrolled release in a building of: 100 kg or more of a flammable liquid; 10 kg or more of a flammable liquid above its boiling point; or 10 kg or more of a flammable gas; or 500 kg of these substances if the release is in the open air Accidental release of any substance which may damage health

(u)

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Note: additional categories of dangerous occurrences apply to mines, quarries, relevant transport systems (railways etc) and offshore workplaces. Reportable diseases include: (a) Certain poisonings (b) Some skin diseases such as occupational dermatitis, skin cancer, chrome ulcer, oil folliculitis/acne (c) Lung diseases including occupational asthma, farmers lung, pneumoconiosis, asbestosis, mesothelioma (d) Infections such as leptospirosis, hepatitis, tuberculosis, anthrax, legionellosis and tetanus (e) Other conditions such as occupational cancer, certain musculoskeletal disorders, decompression illness and hand-arm vibration syndrome The full list of reportable diseases, and the work activities they relate to, can be found in regulation 5 and Schedule 3 to the Regulations.

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Health and Safety Executive

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Guidance

Regulation 1 Citation and commencement


14 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 1995 came into force on 1 April 1996. From 6 April 2012 regulation 3(2) will be amended to increase the period after which a lost-time injury to a worker must be reported (see page 25).

Regulation

Regulation 2 Interpretation
(1) In these Regulations, unless the context otherwise requires

the 2001 Order means the Health and Safety at Work etc Act 1974 (Application Outside Great Britain) Order 2001; accident includes (a) (b) an act of non-consensual physical violence done to a person at work; and an act of suicide which occurs on, or in the course of the operation of, a relevant transport system;

approved means approved for the time being in writing for the purposes of these Regulations by the Executive and published in such form as the Executive considers appropriate; biological agent has the meaning assigned to it by regulation 2(1) of the Control of Substances Hazardous to Health Regulations 2002; CDG 2007 means the Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2007 (SI 2007/1573); construction site means any place where there are carried out building operations or works of engineering construction such that those operations or works fall within section 127(1) of the Factories Act 1961; dangerous occurrence means an occurrence which arises out of or in connection with work and is of a class specified in (a) (b) (c) (d) (e) (f) paragraphs 1-17 of Part I of Schedule 2; paragraphs 18-21 of Part I of Schedule 2 and takes place elsewhere than at an offshore workplace; paragraphs 22-40 of Part II of Schedule 2 and takes place at a mine; paragraphs 41-48 of Part III of Schedule 2 and takes place at a quarry; paragraphs 49-72 of Part IV of Schedule 2 and takes place where a relevant transport system is operated (other than at a factory, dock, construction site, mine or quarry); or paragraphs 73-83 of Part V of Schedule 2 and takes place at an offshore workplace;

disease includes a medical condition; diving contractor has the same meaning assigned to it by the Diving at Work Regulations 1997; diving project has the meaning assigned to it by the Diving at Work Regulations 1997;
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Regulation

dock means any place to which section 125(1) of the Factories Act 1961 applies; the Executive means the Health and Safety Executive; factory has the meaning assigned to it by section 175 of the Factories Act 1961; guided transport system means a system using a mode of guided transport prescribed under regulations 29(2)-(6) and 34 and Schedule 1 of the Railways and Other Transport Systems (Safety) Regulations 2006; major injury means an injury or condition specified in Schedule 1; mine means a mine within the meaning of section 180 of the Mines and Quarries Act 1954 and for the purposes of these Regulations includes a closed tip within the meaning of section 2(2)(b) of the Mines and Quarries (Tips) Act 1969 which is associated with that mine; quarry means a quarry within the meaning of regulation 3 of the Quarries Regulations 1999; offshore installation has the meaning assigned to it by article 4(2) of the 2001 Order but excluding the fixed structures specified in article 4(2)(a) of that Order; offshore workplace means any place where activities are carried on or any premises such that prescribed provisions of the 1974 Act are applied to those activities or premises by virtue of articles 4, 5 or 6 of the 2001 Order, and for this purpose those articles shall be deemed to apply to activities or premises within Great Britain which are in tidal waters or on the foreshore or other land intermittently covered by such waters as they apply to activities and premises within territorial waters or a designated area; operator in relation to a mine has the meaning assigned to it by regulation 2(1) of the Quarries Regulations 1999; operator in relation to a quarry has the meaning assigned to it by the Quarries Regulations 1999; operator in relation to a vehicle to which paragraph 16 or 17 and 17A of Part I of Schedule 2 applies, means (a) a person who holds an operators licence (granted under Goods Vehicles (Licensing of Operators) Act 1995, for the use of that vehicle for the carriage of goods on a road; except that where by virtue of regulation 30(1) of the Goods Vehicles (Licensing of Operators) Regulations 1995 the vehicle is included in a licence held by a holding company and that company is not operating the vehicle at the relevant time, the operator shall be the subsidiary company specified in the application made under the said regulation 30(1) or, if more than one subsidiary company is so specified, whichever one is operating the vehicle at the relevant time, and in this sub-paragraph holding company and subsidiary company have the same meanings as in the said Regulations of 1995; or where no such licence is held (i) (in the case of a vehicle which is not registered in the United Kingdom) the driver of the vehicle, or (ii) (in the case of any other vehicle) the keeper of the vehicle; and for this purpose, where the vehicle is on hire or lease to any person, that person shall be treated as its keeper;
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(b)

Health and Safety Executive

A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

Regulation

but where an employee who would otherwise be the operator of a vehicle in accordance with sub-paragraph (b)(i) above uses that vehicle for the carriage of any dangerous goods on behalf of his employer, that employer shall (notwithstanding that sub-paragraph) be regarded as the operator of the vehicle concerned; owner means (a) (b) in relation to a mine, the person who is for the time being entitled to work it; in relation to a pipeline, the person who is for the time being entitled to control the flow of anything through that pipeline or through that pipeline once it is commissioned;

passenger train means a train carrying passengers or made available for the carriage of passengers; pipeline and pipeline works have the meaning assigned to them by article 6(2) of the 2001 Order; railway has the meaning assigned to it by section 67 of the Transport and Works Act 1992; relevant transport system means a railway, tramway, trolley vehicle system or guided transport system; responsible person means (a) in the case of (i) a mine, the manager of that mine; (ii) a quarry, the operator of that quarry; (iii) a closed tip, the owner of the mine with which that tip is associated; (iv) an offshore installation (otherwise than in the case of a disease reportable under regulation 5), the duty holder for the purposes of the Offshore Installations and Pipeline Works (Management and Administration) Regulations 1995 provided that for the purposes of this provision regulation 3(2)(c) of those Regulations shall be deemed not to apply; (v) a dangerous occurrence at a pipeline (being an incident to which paragraph 14 (a)-(f) of Part I of Schedule 2 applies), the owner of that pipeline; (vi) a dangerous occurrence at a well, the person appointed by a concession owner to execute any function of organising or supervising any operation to be carried out by the well or, where no such person has been appointed, the concession owner (and for this purpose concession owner means the person who at any time has the right to exploit or explore mineral resources in any area, or to store gas in any area and to recover gas so stored if, at any time, the well is, or is to be, used in the exercise of that right); (vii) a diving project (otherwise than in the case of a disease reportable under regulation 5), the diving contractor; (viii) a vehicle to which paragraph 16 or 17 of Part 1 of Schedule 2 applies, the operator of the vehicle; (where sub-paragraph (a) above does not apply) in the case of the death of or other injury to an employee reportable under regulation 3 or of a disease suffered by an employee reportable under regulation 5, his employer; and

(b)

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Regulation

(c)

in any other case, the person for the time being having control of the premises in connection with the carrying on by him of any trade, business or other undertaking (whether for profit or not) at which, or in connection with the work at which, the accident or dangerous occurrence reportable under regulation 3, or case of disease reportable under regulation 5, happened;

road has the meaning assigned to it by section 192(1) of the Road Traffic Act 1988; road vehicle means any vehicle, other than a train, on a road; running line means any line which is not a siding and is ordinarily used for the passage of trains; train includes a reference to a locomotive, tramcar or other power unit and to a vehicle used on a relevant transport system; tramway has the meaning assigned to it by section 67 of the Transport and Works Act 1992; trolley vehicle system has the meaning assigned to it by section 67 of the Transport and Works Act 1992; well includes any structures and devices on top of a well; (2) In these Regulations, unless the context otherwise requires, any reference to (a) (b) (c) a numbered regulation or Schedule is a reference to the regulation or Schedule in these Regulations so numbered; a numbered paragraph is a reference to the paragraph so numbered in the regulation or Schedule in which that reference appears; and an accident or a dangerous occurrence which arises out of or in connection with work shall include a reference to an accident, or as the case may be, a dangerous occurrence attributable to the manner of conducting an undertaking, the plant or substances used for the purposes of an undertaking and the condition of the premises so used or any part of them.

Guidance

15 For the purposes of these Regulations, a person who is at an offshore workplace shall be deemed to be at work at all times when he is at that workplace in connection with his work.

Notes on selected definitions


Violence 16 Accident has been defined as including an act of non-consensual physical violence done to a person at work. This makes injuries to workers arising from such acts reportable if they fall into one of the categories in regulation 3(1)(a), 3(1)(b), 3(2) or 4. 17 The term non-consensual is used to exclude injuries arising from situations where the injured person had agreed to the violent act. This would exclude, for example, injuries arising from some types of professional sport, where taking part implies acceptance of a level of violence and risk of injury. A major injury of the type
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Guidance

reportable under regulation 3(1)(b) suffered by a professional sportsperson as a result of heavy physical contact during the normal course of a game of rugby or a boxing match would not be an accident for the purposes of these Regulations and would not need to be reported. A major injury suffered by a shop assistant assaulted by a customer or a nurse assaulted by a patient in a psychiatric ward would be regarded as arising from an accident and must be reported. 18 Only physical injuries resulting from acts of violence suffered by people at work are included in the definition of accident. For example: (a) (b) (c) An act of violence done to a member of the public by an employee or another member of the public would not be regarded as an accident and any resulting injury would not need to be reported. Cases where a worker suffered shock from witnessing an act of violence or abusive or threatening behaviour would not need to be reported. Cases where a worker suffered shock and was unable to carry out the full range of their normal duties for over three days because of a physical injury received as a result of an act of violence would be reportable.

19 Further guidance on the reporting of acts of violence is given in paragraphs 4143 in the section dealing with the definition of the phrase out of or in connection with work in regulation 2(2). 20 Remember that incidents involving acts of violence may need to be reported to the police, whether or not they are reportable to HSE or local authorities under these Regulations. Offshore installation 21 This definition explains the use of the term offshore installation in part (a)(iv) of the definition of responsible person and in paragraphs 7383 of Schedule 2 Part V (dangerous occurrences reportable in respect of an offshore workstation). The full offshore scope of the Regulations is, however, wider than this (see offshore workplace below and also regulation 12). Offshore workplace 22 These Regulations apply to the offshore oil and gas industry (see regulation 12). Some provisions apply only offshore and these are identified by the term offshore workplace (eg Schedule 2, Part V, Schedule 3, Part II and Schedule 6). The places and activities covered by these special provisions are: (a) (b) (c) offshore installations and activities on them, most activities in connection with them, and certain diving activities; wells and most activities in connection with wells; and pipelines, pipeline works and certain activities in connection with pipeline works.

23 The term includes offshore installations, wells, pipelines and related activities in inshore tidal waters, but not those on land or in non-tidal waters such as lakes. It also excludes certain construction and other activities in territorial waters covered by articles 7 and 8 of the 2001 Order. Operator of a vehicle 24 Dangerous occurrences involving the transport of dangerous goods by road are set out at paragraphs 16 and 17 of Schedule 2, Part 1. If an incident does occur then the person who must notify and report to the enforcing authority is the operator of the vehicle. The operator is defined as being one of the following:

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(a) (b)

(c)

(d)

a person who holds an operators licence under the Goods Vehicles (Licensing of Operators) Act 1995 to use the vehicle to transport goods on the road; or when the vehicle is included in a licence held by a holding company which is not operating it at the time and one or more subsidiary companies are covered by the licence, whichever subsidiary company is operating the vehicle; or if no operators licence is held and the vehicle is not registered in the United Kingdom, the driver of the vehicle, unless the driver is an employee carrying dangerous substances on behalf of their employer, in which case the employer will be the operator; or if no operators licence is held and the vehicle is registered in the United Kingdom, the keeper of the vehicle, including anyone the vehicle is hired or leased to.

Pipelines and pipeline works 25 These definitions apply to both onshore and offshore pipelines, even though the 2001 Order only applies offshore. Railways 26 The definitions of railway etc under relevant transport system exclude those at factories, docks, construction sites, and at mines and quarries. As a result the dangerous occurrences in Part IV of Schedule 2 do not apply at those premises. Separate guidance is available on the application of these Regulations to relevant transport systems.2 Responsible person 27 The responsible person must notify, report and record the events (deaths, injuries and dangerous occurrences) which are covered by regulations 3 and 4 and the cases of disease covered by regulation 5. 28 Table 1 summarises who the responsible person is for all situations.

Self-employed people 29 As shown in Table 1, when a self-employed person is injured or suffers ill health at work, whether they or someone else must report depends on who was in control of the premises where they were working at the time the injury or case of ill health occurred. 30 For example, if a self-employed person is seriously injured while working for a firm of subcontractors on a large building site controlled by a main contractor, the main contractor must report the injury. However, if the injured self-employed person is working in their own premises, or in other premises under their control at the time of the accident, they must report the injury. Under RIDDOR there is no requirement on anyone to report the death of a self-employed person which occurs in premises where they are the owner or occupier (regulation 10(5)).

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Table 1 Identifying the responsible person for reportable events Reportable event (under RIDDOR 1995) 1 Special cases All reportable events in mines All reportable events in quarries or in closed mine or quarry tips All reportable events at offshore installations, except in cases of disease reportable under regulation 5 Responsible person The mine manager The owner The owner, in respect of a mobile installation, or the operator in respect of a fixed installation (under these Regulations the responsibility extends to reporting incidents at subsea installations, except tied back wells and adjacent pipeline) The diving contractor

All reportable events at diving operations, except cases of disease reportable under regulation 5

Reportable event (under RIDDOR 1995) 2 Injuries and disease Death, major injury, over-seven-day injury, or case of disease (including cases of disease connected with diving operations and work at an offshore installation): Death, major injury, over-seven-day injury, or case of disease: of an employee at work

Responsible person That persons employer

of a selfemployed person at work in premises under the control of someone else

The person in control of the premises: at the time of the event; and in connection with their carrying on any trade, business or undertaking The self-employed person or someone acting on their behalf

Major injury, overseven-day injury, or case of disease:

of a selfemployed person at work in premises under their control

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Death, or injury requiring removal to a hospital for treatment (or major injury occurring at a hospital):

of a person who is not at work (but is affected by the work of someone else), eg a member of the public, a student, a resident of a nursing home

The person in control of the premises where, or in connection with the work at which, the accident causing the injury happened: at the time of the event; and in connection with their carrying on any trade, business or undertaking

Reportable event (under RIDDOR 1995) 3 Dangerous occurrences One of the dangerous occurrences listed in Schedule 2 to the Regulations, except:

Responsible person

The person in control of the premises where, or in connection with the work at which, the dangerous occurrences happened: at the time the dangerous occurrence happened; and

where they occur at workplaces covered by Part 1 of this table (ie at mines, quarries, closed mine or quarry tips, offshore installations or connected with diving operations); or those covered below (which are: paragraphs 13, 14(a) to (f), 16 and 17 of Schedule 2, Part I) A dangerous occurrence at a well (see paragraph 13 of Schedule 2)

A dangerous occurrence at a pipeline (see paragraph 14(a) to (f) of Schedule 2), but not a dangerous occurrence connected with pipeline works (paragraph 14(g) of Schedule 2) A dangerous occurrence involving a dangerous substance being conveyed by road (see paragraphs 16 and 17 of Schedule 2)

in connection with their carrying on any trade, business or undertaking The concession owner (the person having the right to exploit or explore mineral resources and store and recover gas in any area, if the well is used or is to be used to exercise that right) or the person appointed by the concession owner to organise or supervise any operation carried out by the well The owner of the pipeline

The operator of the vehicle

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Mobile employees 31 Except in the special cases listed in part 1 of Table 1, a reportable injury to a mobile employee, sometimes referred to as a peripatetic employee (for example a goods or postal delivery worker, a refuse collector, a sales representative, community health nurse, a building worker who travels from site to site, social worker or a service engineer) must be reported by that persons employer, wherever the accident causing the injury happens. For example, if a mobile refrigeration engineer is seriously injured while working in a supermarket, the engineers employer must make the report, not the operator of the supermarket. The report must be made to the local office of the relevant enforcing authority for the premises where, or in connection with the work at which, the injury occurred (see paragraphs 6972). Where a workplace is shared, co-operation between employers and self-employed people is required by regulation 11 of the Management of Health and Safety at Work Regulations 1999.3 For that reason, an employer in control of premises where there is a reportable accident involving a mobile employee working away from their base should inform that persons employer about it as soon as possible. Informing the responsible person 32 To help the responsible person carry out their duties, employees need to be given clear guidelines about reporting accidents and cases of ill health to management. Internal reporting procedures need to ensure that prompt and clear information is given to the person within the organisation who is responsible for reporting to the enforcing authority. Co-operation reporting arrangements in shared premises 33 The word premises as defined by section 53 of the HSW Act has a very broad meaning. In some circumstances it can mean just part of a building or other workplace where the person in control of that part may differ from the person in control in other areas, for example part of an occupied factory building being demolished by a firm of demolition contractors. The boundaries between areas under different peoples control may sometimes be difficult to determine, for example in the case of a common access stairway in a building occupied by several employers. It is therefore important that those responsible for making reports in a given situation are identified through the arrangements for co-operation required under regulation 11 of the Management of Health and Safety at Work Regulations 1999.3 Offshore installations 34 Item (a)(iv) of Regulation 2(1), under the definition of responsible person, makes the responsible person the owner, in respect of a mobile offshore installation, or the operator in respect of a fixed installation.4 These people are the dutyholder for the purposes of the Offshore Installations and Pipeline Works (Management and Administration) Regulations 1995 (MAR 1995). The definition in these Regulations, however, extends the dutyholders responsibilities to report incidents involving subsea installations (MAR 1995 does not apply to such installations). Tied back wells and the adjacent 500 m of pipeline are excluded (they are covered by (a)(v) and (vi) under the definition of responsible person). Regulation 2(2)(c): Arising out of or in connection with work 35 This key phrase is also used in regulation 3. Understanding its meaning and scope is vital in helping to decide if an accident (including, in certain situations, acts of violence) or dangerous occurrence must be reported. 36 Arising out of or in connection with work has a very wide meaning and regulation 2(2)(c) does not give a complete definition. It sets out three key factors which are covered by the phrase and must be taken into account when deciding if
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an accident arose out of or in connection with work. These are reproduced below together with explanations and practical examples to show the areas they cover. 37 Determining if an accident is reportable under RIDDOR does not depend on apportioning blame. The broad meaning of arising out of or in connection with work means that an accident may still be reportable even if there had been no breach of health and safety law and no one was clearly to blame. 38 When using the three key factors to help decide if an accident arose out of or in connection with work, it is useful to think first about the circumstances of the accident and the factors involved. Examples might be: (a) (b) (c) (d) (e) 39 (a) What work was going on at the time? What was the injured person doing? What were others doing? Where did the accident happen? Were factors such as structures, equipment or substances involved? The key factors are: The manner of conducting an undertaking. This refers to the way in which any work activity is being carried out for the purposes of an undertaking, including how it is organised, supervised or performed by an employer or any of their employees, or by a self-employed person, for example boxes spread across a walkway cause someone trying to get around them to be injured. The plant or substances used for the purposes of the undertaking. This includes lifts; air conditioning plant; any machinery, equipment or appliance; gas installations; and substances used in connection with the premises or with processes carried on there. One example would be somebody who enters a lift and trips and falls because the lift had not stopped level with the floor. The condition of the premises used by the undertaking or of any part of them. This includes the state of the structure or fabric of a building or outside area forming part of the premises and the state and design of floors, paving, stairs, lighting etc. For example, a building is being refurbished and a temporary wall collapses, injuring a passer-by.

(b)

(c)

Effect of Arising out of or in connection with work on reporting accidents involving people not at work 40 In the following examples the accidents, which involve people who are not at work, would all be regarded as arising out of or in connection with work. As a result, if one of the people died or suffered an injury leading to them being taken to a hospital, regulation 3(1)(c) would apply and the death or injury must be reported: (a) (b) (c) someone shopping who was involved in an accident at an escalator in a shop, where the accident was attributable to the design or condition of the escalator; a patient/resident in a nursing or residential care home who tripped and fell over an obstruction such as an electrical cable lying across a floor in the home; a member of the public who, while visiting a factory, was overcome by fumes which escaped accidentally from a process being carried on there;

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(d)

a pupil or student, who was involved in an accident attributable in some way to: (i) (ii) (iii) (iv) work organisation (eg by a teacher); plant; a substance; or the condition of the premises.

Separate guidance dealing with reporting school accidents is available.5 41 Similarly, if a patient in a hospital fell from a window and broke a leg, the accident leading to the injury would be regarded as having arisen out of or in connection with work. Regulation 3(1)(d) would apply and the injury would have to be reported. Effect of Arising out of or in connection with work on reporting injuries arising from violence at work 42 If one of the people in the following examples died or suffered a major or overseven-day injury caused by a non-consensual act of physical violence while they were at work then regulation 3 would apply, meaning that the death or injury must be reported. In the case of an over-seven-day injury the incapacity must arise from the physical injury and not be the result of a psychological reaction to the act of violence alone: (a) (b) (c) a supervisor is hit by an employee while giving an instruction to carry out a work-related task; a member of a hospital medical team (eg nurse, porter) is hit by a patient while carrying out their duties; a new employee is injured while being forced to take part in an initiation ceremony.

43 Injuries suffered by the people in the following examples would not be regarded as arising out of or in connection with work and so would not have to be reported: (a) (b) 44 an employee working on a factory production line hits another during an argument over a personal matter; an employee working at a public enquiry desk is hit by one of their relatives who comes in to discuss a domestic matter. Further guidance on reporting violent incidents is given in paragraph 16.

Regulation 2(3): Working offshore 45 Offshore workers are commonly accommodated offshore in between their work shifts. Injuries to workers while off-shift offshore are reportable in the same way as injuries during work shifts, as long as the injury results from an accident arising out of or in connection with work.

Regulation

Regulation 3 Notification and reporting of injuries and dangerous occurrences


(1) (a) Subject to regulation 10, where any person dies as a result of an accident arising out of or in connection with work;

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(b) (c) (d) (e)

any person at work suffers a major injury as a result of an accident arising out of or in connection with work; any person not at work suffers an injury as a result of an accident arising out of or in connection with work and that person is taken from the site of the accident to a hospital for treatment in respect of that injury; any person not at work suffers a major injury as a result of an accident arising out of or in connection with work at a hospital; or there is a dangerous occurrence, the responsible person shall (i) forthwith notify the relevant enforcing authority thereof by the quickest practicable means; and (ii) within 10 days send a report thereof to the relevant enforcing authority on a form approved for the purposes of this subparagraph, unless within that period he makes a report thereof to the Executive by some other means so approved.

(2) Subject to regulation 10, where a person at work is incapacitated for work of a kind which he might reasonably be expected to do, either under his contract of employment, or, if there is no such contract, in the normal course of his work, for more than seven consecutive days (excluding the day of the accident but including any days which would not have been working days) because of an injury resulting from an accident arising out of or in connection with work (other than one reportable under paragraph (1)), the responsible person shall as soon as practicable and, in any event, within 15 days of the accident send a report thereof to the relevant enforcing authority on a form approved for the purposes of this regulation, unless within that period he makes a report thereof to the Executive by some other means so approved.

Guidance

46 Regulation 3 sets out the requirements to notify and report certain deaths, injuries and dangerous occurrences. In order to understand the requirements it is important to appreciate the meaning of the key phrase arising out of or in connection with work, which is defined in regulation 2(2)(c), and the definitions of accident and responsible person in regulation 2(1). Paragraphs 3443 give more guidance on understanding the phrase arising out of or in connection with work. 47 The requirements of regulation 3 are subject to the restrictions set out in regulation 10.

Death
48 The death of any person, whether or not they are at work, must be reported if it results from an accident arising out of or in connection with work. However: (a) (b) under RIDDOR there is no requirement on anyone to report the death of a self-employed person which occurs in premises where they are the owner or occupier; deaths of employees occurring some time after the accident are covered by regulation 4.

Major injury to a person at work


49 The reportable major injuries are set out in Schedule 1 to these Regulations.

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Injuries to people not at work


50 Any injury to a person who is not at work (eg a hotel or care home resident, pupil or student, or a customer in a shop) must be reported if it: (a) (b) results from an accident arising out of or in connection with work; and results in them being taken from the premises where the accident occurred to a hospital, by whatever means (for example by taxi, private car or ambulance).

51 The phrase in regulation 3(1)(c): Taken from the site of the accident to hospital for treatment describes a situation where someone is taken to hospital because it appears that some medical attention may be necessary. There is no requirement to check that treatment is actually administered by the hospital. The injury must still be reported in cases where the person does not receive treatment. 52 Examples of reportable accidents involving people not at work are given in the guidance on regulation 2(2) at paragraphs 4041.

Injuries at a hospital to people not at work


53 If a person who is not at work is injured on hospital premises as a result of an accident arising out of or in connection with work the injury must be reported if it falls into one of the categories of major injury defined in Schedule 1 to these Regulations. The different requirements are designed to ensure the reporting of accidents at hospitals which would have required removal to a hospital if they had occurred elsewhere.

Dangerous occurrences
54 The reportable dangerous occurrences are defined in Schedule 2 to these Regulations. If an injury occurs and is reportable under one of the other categories in regulation 3, the dangerous occurrence should not be reported separately. If, however, the injury is not reportable under regulation 3, the dangerous occurrence must be reported.

Incidents on public roads


55 Only a limited number of accidents caused by moving vehicles on a public road are reportable (see regulation 10). However, when there has been a reportable injury or dangerous occurrence on the public road, it must still be reported under these Regulations even though it may already have been reported to, or involved, the police or other emergency services.

Notification and reporting


56 (a) (b) Regulation 3(1) lists the circumstances where the responsible person must: notify the enforcing authority by the quickest practicable means (but see the exclusion for the self-employed in regulation 10(5)); and within ten days of the accident make a report on an approved form or by some other means approved by HSE.

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57 The easiest and quickest way to send a report is to go to www.hse.gov.uk/riddor and complete the appropriate online report form. The form will then be submitted directly to the RIDDOR database. You will receive a copy for your records. Telephone 58 All incidents can be reported online but a telephone service remains for reporting fatal and major injuries only. Call the Incident Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am to 5 pm). It is advisable to keep a note of telephone notifications, including the time, the name of the caller and what details were given of the event being notified. 59 The phrase unless within that period he makes a report thereof to the Executive by some other means so approved, enables online and telephone reporting systems where, if a report is made by telephone or over the internet to the Incident Contact Centre,1 there is no need to separately submit a written report to follow it up. 60 Forthwith and within 10 days refer to the time of the accident. However, there will be cases when the reportable injury or condition resulting from the accident will either be: (a) (b) unrecognisable without a medical examination (eg a case of a fracture of the skull) which is conducted only after some delay; or delayed for some time after the accident (eg some cases of acute illness where a substance has been absorbed).

In such cases the notification (and report) required by regulation 3(1) should be made as soon as the injury or condition has been confirmed. 61 The phrase unless within that period he makes a report thereof to the Executive by some other means so approved allows HSE to approve using the Incident Contact Centre (ICC) telephone, online and email reporting systems. Contact the ICC on 0845 300 9923 or online and email reporting is possible by visiting www.hse.gov.uk/riddor.

Over-seven-day injuries
62 From 6 April 2012, the over-three-day reporting requirement for people at work will change to the over-seven-day reporting period. From then, you only have to report injuries that lead to a worker being incapacitated for more than seven consecutive days (not counting the day of the accident but including weekends and rest days). The report must be made within 15 days of the accident. 63 Regulation 3(2) (as amended) only applies to injuries resulting from accidents to people who are at work and to injuries which are not reportable under regulation 3(1). 64 An over-seven-day injury is one which is not major but results in the injured person being away from work or unable to do the full range of their normal duties for more than seven days. 65 When calculating more than seven consecutive days the day of the accident should not be counted, only the period after it. Any days the injured person would not normally have been expected to work, such as weekends, rest days or holidays, must be included.
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66 Some situations will include days when the injured person would not normally have been expected to work. Determining whether they would have been unable to do their normal range of duties for more than seven consecutive days may therefore involve a degree of judgement. It may be necessary to ask the injured person if they would have been able to carry out all of their duties if they had been at work. 67 Reports must be made of an over-seven-day injury within 15 days of the accident. However, where the incapacitation does not immediately follow the day of the accident, eg because the condition does not become apparent until some time after the accident, the report should be made as soon as the injury or condition has incapacitated the worker for more than seven consecutive days. 68 Below are some examples of different situations to demonstrate counting the more than seven consecutive days period. Example 1 A trainee who normally works Monday to Friday is injured at work on a Tuesday and left unable to do their job. They return to work more than a week later on the Thursday. The days counted would be the Wednesday, Thursday, Friday, Saturday and Sunday of the first week and the Monday, Tuesday and Wednesday of the next week, making a total of eight days when they would have been unable to work because of the injury. In this instance, the injury must be reported. Example 2 A shift worker, who normally works five days on and five days off, is injured at work on the first day of their shift and left unable to do their job. By the fifth day of their five-day rest period they are fit enough to do the full range of their normal duties. They return to work at the start of their next shift. The days counted would be the four days on which they would normally work of the shift plus the first four days of their rest period, making a total of eight days incapacity. As a result, the injury must be reported.

Reporting to the enforcing authority


69 In all of the above cases, and in the case of regulations 4, 5 and 6, notification and reports can be made by going to www.hse.gov.uk/riddor and completing the appropriate online report form. The form will then be submitted directly to the RIDDOR database. You will receive a copy for your records. 70 All incidents can be reported online but a telephone service remains for reporting fatal and major injuries only. Call the Incident Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am to 5 pm). 71 If you need more information about reporting under RIDDOR or health and safety information in general, please visit the HSE website at www.hse.gov.uk. 72 The split of enforcement responsibility between HSE and local authorities is determined by the Health and Safety (Enforcing Authority) Regulations 1998 (as amended). In summary, however, local authorities are responsible for enforcing health and safety legislation in: (a) (b) (c) (d) retailing; some warehouses; most offices; hotels and catering;
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(e) (f) (g) (h) (i) (j) (k)

sports; leisure; consumer services; places of worship; residential accommodation; pre-school child care; and mobile vendors.

Regulation

Regulation 4 Reporting of the death of an employee


Subject to regulation 10, where an employee, as a result of an accident at work, has suffered an injury reportable under regulation 3 which is a cause of his death within one year of the date of that accident, the employer shall inform the relevant enforcing authority in writing of the death as soon as it comes to his knowledge, whether or not the accident has been reported under regulation 3.

Guidance

73 The requirements in regulation 3(1) to report fatalities are intended to apply in practice to any death which occurs at the time of an accident or within a few days. 74 Regulation 4 requires that if an employee dies after some delay as a result of an injury which is reportable under regulation 3, then the employer must inform the enforcing authority about the death in writing, provided that it occurs within a year of the date of the accident. This must be done whether or not the original injury had been reported. 75 Regulation 4 only applies to employees. The death is not reportable if someone other than an employee (for example a pupil at school or a pedestrian near a building site) subsequently dies from an injury of the type reportable under regulation 3(1)(c) or 3(1)(d) suffered as a result of an accident arising out of or in connection with the work activity of someone else.

Regulation

Regulation 5 Reporting of cases of disease


(1) (a) (b) Subject to paragraphs (2) and (3) and to regulation 10, where a person at work suffers from any of the occupational diseases specified in column 1 of Part I of Schedule 3 and his work involves one of the activities specified in the corresponding entry in column 2 of that Part; or a person at an offshore workplace suffers from any of the diseases specified in Part II of Schedule 3,

the responsible person shall forthwith send a report thereof to the relevant enforcing authority on a form approved for the purposes of this regulation, unless he forthwith makes a report thereof to the Executive by some other means so approved. (2) (a) (b) Paragraph (1) shall apply only if in the case of an employee, the responsible person has received a written statement prepared by a registered medical practitioner diagnosing the disease as one of those specified in Schedule 3; or in the case of a self-employed person, that person has been informed, by a registered medical practitioner, that he is suffering from a disease so specified.

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(3) In the case of a self-employed person, it shall be a sufficient compliance with paragraph (1) if that person makes arrangements for the report to be sent to the relevant enforcing authority by some other person. 76 The requirements of regulation 5 are subject to the restrictions set out in regulation 10. 77 Regulation 5 requires employers and self-employed people to report cases of certain diseases which are linked with specified work activities and, in the case of offshore workers, certain other diseases. The reportable diseases and corresponding work activities, together with those additionally reportable offshore, are set out in Schedule 3 to these Regulations.

Guidance

When to report
78 (a) (b) Under regulation 5, the responsible person must make a report if: they receive, in respect of an employee, a written diagnosis of one of the occupational diseases in Column 1 of Schedule 3, Part I made out by a doctor (for example a GPs statement on a medical certificate); and the ill employees current job involves the corresponding work activity specified in Column 2 of Schedule 3, Part I.

79 In addition, where the employee was at an offshore workplace an employer must also make a report if they receive, in respect of an employee, a written diagnosis of one of the diseases listed in Part II of Schedule 3, made out by a doctor. 80 When employers receive written statements by doctors they should check against Schedule 3 whether reports must be made. They can simplify this job by identifying which of their work activities are covered by Column 2 of Schedule 3, Part I and then short-listing those diseases in Column 1 which they might need to report. In doing this, employers can usefully draw on the list of hazards identified and recorded as part of their duty under the Management of Health and Safety at Work Regulations 19993 to carry out a risk assessment. Additional guidance on some of the conditions listed in Schedule 3, Part I is provided in the table annexed to the Schedule.

The self-employed
81 Self-employed people do not normally need written statements from their doctors when off work through illness. To take account of this, a written statement is not required to trigger a report. If a self-employed person is diagnosed by a doctor to be suffering from one of the diseases in Schedule 3, and is told about it directly by the doctor, then they (or someone on their behalf) must report it. As with employees, this only applies if their current job involves the corresponding work activity specified in the Schedule (unless they are at an offshore workplace and a disease from Part II of the Schedule is being reported).

Making a report
82 Reports can be made by going to www.hse.gov.uk/riddor and completing the appropriate online report form. The form will then be submitted directly to the RIDDOR database. You will receive a copy for your records.
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The role of doctors


83 Doctors are encouraged to use standard wording when describing reportable diseases on written statements which they make out for their patients.

Regulation

Regulation 6 Reporting of gas incidents


(1) Whenever a conveyor of flammable gas through a fixed pipe distribution system, or a filler, importer or supplier (other than by means of retail trade) of a refillable container containing liquefied petroleum gas receives notification of any death or any major injury which has arisen out of or in connection with the gas distributed, filled, imported or supplied, as the case may be, by that person, he shall forthwith notify the Executive of the incident, and shall within 14 days send a report of it to the Executive on a form approved for the purposes of this regulation. (2) Whenever an employer or self-employed person who is a member of a class of persons approved by the Executive for the purposes of paragraph (3) of regulation 3 of the Gas Safety (Installation and Use) Regulations 1998 has in his possession sufficient information for it to be reasonable for him to decide that a gas fitting as defined in the said Regulations or any flue or ventilation used in connection with that fitting, by reason of its design, construction, manner of installation, modification or servicing, is or has been likely to cause death, or any major injury by reason of (a) (b) (c) accidental leakage of gas; inadequate combustion of gas; or inadequate removal of the products of combustion of gas, he shall within 14 days send a report of it to the Executive on a form approved for the purposes of this regulation, unless he has previously reported such information. Nothing shall be reportable under this regulation if it is notifiable or reportable elsewhere in these Regulations; under paragraph (2) in relation to any gas fitting, flue or ventilation undergoing testing or examination at a place set aside for that purpose.

(3) (a) (b)

(4) In this regulation liquefied petroleum gas means commercial butane (that is, a hydrocarbon mixture consisting predominantly of butane, butylene or any mixture thereof) or commercial propane (that is, a hydrocarbon mixture consisting predominantly of propane, propylene or any mixture thereof) or any mixture of commercial butane and commercial propane.

Guidance

6(1)

Regulation 6(1): Gas incident causing death or injury


84 Once one of the people listed in regulation 6(1) learns directly (eg from relatives or local police forces investigating deaths for unknown reasons), or indirectly (eg from local or national media reports of gas incidents), that someone has died or suffered a major injury in connection with the gas distributed, filled, imported or supplied by them they must notify HSE immediately. The quickest way to do this is to go to www.hse.gov.uk/riddor/report.htm and complete the appropriate online form. The form will then be submitted directly to the RIDDOR database. You will receive a copy for your records.

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6(1)

85 However, a report under regulation 6(1) is not required if the death or major injury was reportable by a responsible person under regulation 3(1). For example, if someone (eg a gas installer or service engineer) died or was injured in a gas-related incident in the course of their work, the report should be made by the relevant responsible person under regulation 3(1). 86 Gas conveyors making reports under regulation 6(1) of incidents involving exposure to carbon monoxide from poorly installed or maintained gas appliances must still make separate reports to gas suppliers under the terms of regulation 7(15) of the Gas Safety (Management) Regulations 1996, so that suppliers can investigate the causes and report their findings to HSE.

Guidance

6(2)

Regulation 6(2): Gas fittings found to be dangerous


87 Gas installation businesses, registered with the Gas Safe Register, must provide HSE with details (using form F2508G2)8 of any gas appliances or fittings that they consider to be dangerous to such an extent that people could die or suffer major injury because the design, construction, installation, modification or servicing could result in: (a) (b) (c) an accidental leakage of gas; inadequate combustion of gas (such as to increase the proportion of carbon monoxide in flue gases from an appliance to a dangerously high level in normal or abnormal and adverse weather conditions); or inadequate removal of the products of the combustion of the gas.

88 The purpose of this requirement is to allow HSE to assess whether it needs to take action against installers, landlords etc who carry duties under general health and safety legislation or more specific gas safety legislation. 89 What needs to be reported may well require some measure of professional judgement on the part of installers. As a guide, the following situations are likely to be reportable: (a) (b) appliances that are known to be spilling their products of combustion after smoke spillage tests have been carried out; installations provided with flues, ventilation, or pipework that have been improvised fall well short of the requirements of British, or other relevant standards (BS 5440, Parts 1 and 2 etc), or generally suggest that the original installers lacked basic competence in gas installation matters, whether they were registered with Gas Safe Register or not, or householders carrying out DIY work; joints that have clearly not been properly subjected to soundness tests after being made or later modifications made to installation pipework that could have affected them.

(c)

90 Regulation 6(2) does not apply in addition to the requirements of regulation 6(1) or regulation 3(1), ie where someone dies or suffers a major injury as a result of a flammable gas incident, or where there is a dangerous occurrence involving flammable gas.

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Guidance

6(2)

Reporting a gas incident


91 Reports can be made by going to www.hse.gov.uk/riddor and completing the appropriate online report form. The form will then be submitted directly to the RIDDOR database. You will receive a copy for your records.

Regulation

Regulation 7 Records
(1) (a) The responsible person shall keep a record of

any event which is required to be reported under regulation 3, which shall contain the particulars specified in Part I of Schedule 4; (aa) any injury resulting from an accident arising out of or in connection with work, where (i) a person is incapacitated for more than three consecutive days (excluding the day of the accident, but including any days which would not have been working days); and (ii) the work is of a kind which the person might be expected to do either as part of their contract of employment, or if there is no such contract, as part of their normal course of work. The record must contain the particulars specified in Part III of Schedule 4. (b) any case of disease required to be reported under regulation 5(1), which shall contain the particulars specified in Part II of Schedule 4; and (c) such other particulars as may be approved by the Executive for the purpose of demonstrating that any approved means of reporting under regulations 3 or 5(1) has been complied with. (2) Any record of deaths, injuries at work or disease which the responsible person keeps for any other purpose shall, if it covers the injuries recordable under these Regulations and includes the particulars specified in Schedule 4, be sufficient for the requirements of paragraph (1). (3) The record referred to in paragraph (1) shall be kept either at the place where the work to which it relates is carried on or at the usual place of business of the responsible person and an entry in such a record shall be kept for at least three years from the date on which it was made. (4) The responsible person shall send to the relevant enforcing authority such extracts from the record required to be kept under paragraph (1) as that enforcing authority may from time to time require. 92 The responsible person is required to keep, for at least three years, records of every event which must be reported under regulations 3 and 5, and injuries that result in a person at work being incapacitated (unable to carry out their normal duties) for more than three consecutive days, not including the day of the accident (over-three-day injuries). The details to be included in each record are set out in Schedule 4, to these Regulations.

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Guidance

Ways of making and keeping records


93 Records must contain the details set out in Schedule 4, but their design and nature are not specified. Regulation 7 allows flexibility in the way records are made and kept, and enables employers to choose arrangements that suit their own needs. Records kept for other purposes will satisfy the requirements as long as they contain the details in Schedule 4. For example, to record reportable events or an over-three-day injury, an employer could choose: (a) in the case of accidents and diseases, to print out and keep copies of completed report forms in a file or folder. One advantage of this could be that a good deal more detailed information may be kept than otherwise might be the case and the design of the form may provide a useful basis for the analysis of the collected data; or to store the information about each accident and reported case of disease on a computer, this would be acceptable provided that details could be retrieved and printed out readily when required; or in the case of accidents, to use the B1510 Accident Book, which must be kept by certain employers under the Social Security (Claims and Payments) Regulations 1979. In this case, they should identify which of the accidents recorded in the book are reportable, or must be recorded under RIDDOR 1995 (as this method only covers accidents, a separate method, see examples (a) and (b) above, would need to be chosen to record reported cases of disease).

(b) (c)

Location of records
94 The records must be kept either where the work to which they relate is carried out or at the usual place of business of the responsible person. For example, a retail chain may have a system in place where a safety officer makes reports to the enforcing authorities from a central point. In such a case the records may be kept either at the individual shops where the work to which they relate takes place, or at the offices of the safety officer. Records of offshore incidents would normally be kept at a suitable place onshore.

Making records available


95 Extracts from the records must be sent to the enforcing authority on request. In addition, using powers under section 20 of HSW Act, an inspector from the enforcing authority may require any part of the records to be produced. If such a request is made, the records should be produced as soon as possible. In practice, the time taken to produce the records will depend on whether or not they are kept at the place where the work is done or, where applicable, held centrally at the offices of the responsible person. 96 The Safety Representatives and Safety Committees Regulations 1977 require employers to make relevant health and safety documents available to safety representatives. This would include records kept under RIDDOR, except for records which reveal personal health information about identifiable people (see also regulation 8 and Schedule 5 on the powers of nominated persons in mines).

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Guidance

Use of records
97 One aim of the record-keeping provisions of regulation 7 is to ensure that employers collect a minimum amount of data on health and safety incidents connected with their undertaking, so that they can analyse these for performance monitoring and other safety management purposes. Some employers, often in conjunction with safety committees, find it advantageous to gather and analyse information on a wider range of incidents than just those which have to be reported under these Regulations. Such information is a valuable health and safety management tool. It can be used as an aid to risk assessment and in developing strategies to help prevent accidents and ill health and to control costs imposed by accidental loss.

Regulation

Regulation 8 Additional provisions relating to mines and quarries


The provisions of Schedule 5 (which contains additional provisions relating to mines and quarries) shall have effect.

Regulation

Regulation 9 Additional provisions relating to offshore workplaces


The provisions of Schedule 6 (which contains additional provisions relating to offshore workplaces) shall have effect.

Regulation

10

Regulation 10 Restrictions on the application of regulations 3, 4, 5 and 7(1)(aa)


(1) The requirements of regulations 3 and 7(1)(aa) relating to the death or injury of a person as a result of an accident shall not apply to an accident causing death or injury to a person arising out of the conduct of any operation on, or any examination or other medical treatment of, that person which is administered by, or conducted under the supervision of, a registered medical practitioner or a registered dentist (and for the purposes of this paragraph a registered dentist has the meaning assigned to it by section 53(1) of the Dentists Act 1984). (2) The requirements of regulations 3, 4 and 7(1)(aa) relating to the death or injury of a person as a result of an accident, shall apply to an accident arising out of or in connection with the movement of a vehicle on a road only if that person (a) (b) was killed or suffered an injury as a result of exposure to a substance being conveyed by the vehicle; or was either himself engaged in, or was killed or suffered an injury as a result of the activities of another person who was at the time of the accident engaged in, work connected with the loading or unloading of any article or substance onto or off the vehicle; or was either himself engaged in, or was killed or suffered an injury as a result of the activities of another person who was at the time of the accident engaged in, work on or alongside a road, being work concerned with the construction, demolition, alteration, repair or maintenance of (i) the road or the markings or equipment thereon; (ii) the verges, fences, hedges or other boundaries of the road; (iii) pipes or cables on, under, over or adjacent to the road; or (iv) buildings or structures adjacent to or over the road; or
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Regulation

10

(d)

was killed or suffered an injury as a result of an accident involving a train.

(3) The requirements of regulations 3, 4, 5 and 7(1)(aa) relating to any death, injury or case of disease shall not apply to a member of the armed forces of the Crown or of a visiting force who was on duty at the relevant time (and for the purposes of this paragraph a visiting force has the meaning assigned to it by section 12(1) of the Visiting Forces Act 1952). (4) Regulations 3, 4 and 5 shall not apply otherwise than in respect of offshore workplaces to anything which is required to be notified under any of the enactments or instruments specified in Schedule 7. (5) Regulation 3(1)(i) shall not apply to a self-employed person who is injured at premises of which he is the owner or occupier, but regulation 3(1)(ii) shall apply to such a self-employed person (other than in the case of death) and it shall be sufficient compliance with that sub-paragraph if that self-employed person makes arrangements for the report to be sent to the relevant enforcing authority by some other person.

Guidance

10

Injury under medical supervision


98 If a person is injured as a result of an accident arising directly from the conduct of the specified medical procedures being carried out by or under the supervision of a registered medical practitioner or dentist, the injury does not need to be reported. The exclusion does not extend to injuries arising from accidents to patients occurring under any other circumstances. For example, if a patient died or suffered a major injury as a result of a power failure during an operation (and not caused by the conduct of the operation) the death or injury must be reported.

Accidents caused by moving vehicles on the road


99 Regulations 3, 4 and 7(1)(aa) do not apply to accidents involving vehicles moving on public roads unless they involve or are connected with: (a) (b) (c) (d) exposure to any substance being conveyed by road; vehicle loading and unloading activities such as those performed by refuse collectors, brewery delivery workers, furniture removers etc; the specified construction, demolition, alteration, repair or maintenance activities on or alongside public roads; or an accident involving a train where a person is killed or injured.

100 In the case of (a) to (c) in paragraph 98, regulations 3, 4 and 7(1)(aa) apply whether the injured person is engaged in one of the listed activities or whether they are injured as a result of the work of someone else who is engaged in such activities. For example, the following would be reportable under regulation 3 and should be recorded under regulation 7: (a) (b) (c) an employee of a building materials supplier dies as a result of being struck by a passing car while unloading bricks from a lorry; a motorist driving past a building site alongside the road is injured by falling scaffolding from the site. This would also apply if the motorist was an employee and suffered a major injury; the driver of a road tanker suffers gassing and acute illness as a result of exposure to a toxic substance spilled from the tanker or, as a result of the

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Guidance

10
(d)

same spillage, a member of the public is taken to hospital for treatment as a result of exposure to the substance; an employee painting road markings is hit by a car and does not suffer a major injury as a result, but is unable to do the full range of their normal duties for four days.

101 Dangerous occurrences on public highways are covered by the Regulations, and so are accidents and dangerous occurrences on private roads (ie those not covered by the Road Traffic Act 1988).

Avoiding dual reporting


102 Except in the case of offshore workplaces (where HSE needs immediate information about incidents involving offshore installations or pipelines and shipping or aircraft) regulations 3, 4 and 5 do not apply to any of the events reportable under the Acts and Statutory Instruments listed in Schedule 7. This means that RIDDOR does not apply to: (a) (b) (c) (d) a death or injury associated with the operation of a civil aircraft between the time anyone boards it intending to fly and the time everyone gets off; the death or injury of anyone employed on, or carried in, a merchant ship (unless that person is a shore-based worker involved in loading, unloading, repair work etc); any incident involving the escape from control of a radioactive substance; and any dangerous occurrence on board a merchant ship.

Self-employed people
103 If a self-employed person suffers a major injury while working in their own premises they do not have to notify the enforcing authority immediately, as normally required by regulation 3(1)(e)(i). The requirement at regulation 3(1)(e)(ii) to report within ten days still applies, but self-employed people are allowed to make arrangements for someone else to report such injuries on their behalf. There is no requirement on anyone to report the death of a self-employed person which occurs in premises where they are the owner or occupier.

Regulation

11

Regulation 11 Defence in proceedings for an offence contravening these Regulations


It shall be a defence in proceedings against any person for an offence under these Regulations for that person to prove that he was not aware of the event requiring him to notify or send a report to the relevant enforcing authority and that he had taken all reasonable steps to have all such events brought to his notice.

Regulation

12

Regulation 12 Extension outside Great Britain


These Regulations shall apply to and in relation to the premises and activities outside Great Britain to which sections 1 to 59 and 80 to 82 of the Health and Safety at Work etc Act 1974 apply by virtue of the 2001 Order as they apply within Great Britain.

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Guidance

12

104 The Regulations apply to certain work activities carried out in United Kingdom territorial waters adjacent to Great Britain and in the United Kingdom sector of the Continental Shelf. These are the work activities specified by the Health and Safety at Work etc Act 1974 (Application outside Great Britain) Order 2001, which include offshore installations, wells, pipelines and pipeline works, and related activities. The Regulations also apply to mines under the sea and certain other activities in territorial waters, such as the loading and unloading of ships, the construction and repair of ships, the construction and repair of buildings or other structures, and certain diving operations.

Regulation

13

Regulation 13 Certificates of exemption


(1) Subject to paragraph (2) and to any of the provisions imposed by the Communities in respect of the encouragement of improvements in the safety and health of workers at work, the Executive may, by a certificate in writing, exempt any person or class of persons from any requirement imposed by these Regulations and any such exemption may be granted subject to conditions and with or without limit of time and may be revoked by a certificate in writing at any time. (2) The Executive shall not grant any such exemption unless, having regard to the circumstances of the case and, in particular, to (a) (b) the conditions, if any, which it proposes to attach to the exemption; and any other requirements imposed by or under any enactments which apply to the case,

it is satisfied that the health and safety of persons who are likely to be affected by the exemption will not be prejudiced in consequence of it.

Guidance

13

105 Regulation 13 gives HSE limited power to grant exemptions to the requirements of these Regulations. Exemptions can only be granted where the provisions of European legislation allow and where the Executive is satisfied that the health and safety of any people likely to be affected by them will not be adversely affected. Details of exemptions granted are at Appendices 3 and 4.

Regulation

14

Regulation 14 Repeal and amendment of provisions in the Regulation of Railways Act 1871, the Railway Employment (Prevention of Accidents) Act 1900 and the Transport and Works Act 1992
(1) Section 6 (Companies to make returns of accidents to Board of Trade) of the Regulation of Railways Act 1871 section 13(2) of the Railway Employment (Prevention of Accidents) Act 1900 and sections 43 (Accidents etc.) and 44 (Accidents etc: consequential amendments) of the Transport and Works Act 1992 are hereby repealed. (2) (a) The Regulation of Railways Act 1871 shall be amended as follows in section 2 (Interpretation) there shall be added at the end the words The term relevant transport system has the meaning assigned to it by regulation 2 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995.; in section 7 (Inquiry into accidents and formal investigation in serious cases) for the words accident, of which notice is for the time being
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Regulation

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(c) (d)

(e)

required by or in pursuance of this Act to be sent to the Board of Trade there shall be substituted the words accident or occurrence which arises from the operation of a relevant transport system and which is required to be reported by regulation 3(1) of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995; in section 7, after the word accident in each place where it subsequently occurs, there shall be added the words or occurrence; in section 8 (Appointment of an assessor to coroner) for the words accident, of which notice for the time being is required by or in pursuance of this Act to be sent to the Board of Trade there shall be substituted the words accident or occurrence (a) which arises from the operation of a relevant transport system, and (b) which is required to be reported under regulation 3(1) of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995,; and in section 8, after the word accident, in the second place where it occurs, there shall be inserted the words or occurrence.

Regulation

15

Regulation 15 Revocations, amendments and savings


(3) The instruments specified in column 1 of Part I of Schedule 8 are hereby revoked to the extent specified in the corresponding entries in column 3 of that Part. (4) The instruments specified in Part II of Schedule 8 are hereby amended to the extent specified in that Part. (5) Any record or register required to be kept under any instrument revoked by these Regulations, shall be kept in the same manner and for the same period as if these Regulations had not been made.

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Schedule 1 Major injuries

Schedule

Regulation 2(1)
1 2 3 4 5 Any fracture, other than to the fingers, thumbs or toes. Any amputation. Dislocation of the shoulder, hip, knee or spine. Loss of sight (whether temporary or permanent). A chemical or hot metal burn to the eye or any penetrating injury to the eye.

6 Any injury resulting from an electric shock or electrical burn (including any electrical burn caused by arcing or arcing products) leading to unconsciousness or requiring resuscitation or admittance to hospital for more than 24 hours. 7 Any other injury (a) (b) (c) leading to hypothermia, heat-induced illness or to unconsciousness, requiring resuscitation, or requiring admittance to hospital for more than 24 hours.

8 Loss of consciousness caused by asphyxia or by exposure to a harmful substance or biological agent. 9 Either of the following conditions which result from the absorption of any substance by inhalation, ingestion or through the skin (a) (b) acute illness requiring medical treatment; or loss of consciousness.

10 Acute illness which requires medical treatment where there is reason to believe that this resulted from exposure to a biological agent or its toxins or infected material.

Guide Schedule

Brief explanation of main terms used


106 The following notes explain some of the main terms used: (a) (b) fracture includes a break, crack or chip; amputation means either traumatic amputation at the time of the accident or surgical amputation following the accident (but the latter is more likely to be covered by 7(c), ie an injury where the person is admitted to hospital for more than 24 hours); requiring admittance to hospital for more than 24 hours includes situations
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Guide Schedule

(d) (e) (f) (g)

(h)

where, had the injured person not already been in hospital, the injury would have resulted in admission for more than 24 hours; acute illness means illness which: (i) progresses rapidly to a crisis after the onset of symptoms, and (ii) has severe symptoms; medical treatment covers hospital treatment, treatment by a general medical practitioner, or treatment by a firms medical and nursing staff; loss of consciousness means the injured person enters into a state, for however short a period, where there is a lack of response, either vocal or physical, to people trying to communicate with them; biological agent is defined in the Control of Substances Hazardous to Health Regulations 2002 as meaning any micro-organism, cell culture, or human endoparasite including any which have been genetically modified, which may cause any infection, allergy, toxicity or otherwise create a hazard to human health. In the context of the infection hazards relevant to RIDDOR this will in practice cover bacteria, viruses, fungi and parasites; hypothermia and heat-induced illness includes cases where a person suffers an adverse reaction to intense heat or cold acting on the body (the physical injury) and they require assistance from another person.

107 The following notes indicate the kinds of accidents which can lead to the reportable health conditions included in the list of major injuries: (a) loss of consciousness resulting from asphyxia (lack of oxygen): (i) entry of a person into a confined space containing an oxygen-deficient atmosphere; (ii) failure of air or oxygen supply in breathing apparatus; acute illness (absorption of any substance): (i) overturning, collapse or bursting of something containing a toxic substance, causing a spillage which contaminates the working environment; (ii) handling of surfaces of plant, containers etc, onto which a skinabsorbable toxic substance had leaked without the knowledge of the person affected; (iii) use or handling of material containing a toxic substance, the presence of which was not known, in a way which led to an episode of high exposure to that substance; (iv) an unexpected reaction between chemical compounds giving off a toxic gas or vapour which contaminates the working environment; (v) entry of a person into a confined space containing a toxic gas or vapour; acute illness (exposure to a biological agent or its toxins or infected material): (i) escape or release of a biological agent or its toxins or infected material into a working environment by, for example, the failure of a fermenter or a centrifuge, breakage of a flask, a spillage, filter failure; (ii) exposure to a biological agent or its toxins or infected material through, for example, accidental self-inoculation (eg by the needle of a syringe or other contaminated sharp item), animal bite or laceration.

(b)

(c)

More specialised guidance on the application of this and other aspects of RIDDOR in the healthcare sector is available.10

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Schedule 2 Dangerous occurrences


Schedule Part 1 2 Regulation 2(1) PART I GENERAL
Lifting machinery etc 1 The collapse of, the overturning of, or the failure of any load-bearing part of any (a) (b) (c) (d) (e) (f) (g) lift or hoist; crane or derrick; mobile powered access platform; access cradle or window-cleaning cradle; excavator; pile-driving frame or rig having an overall height, when operating, of more than 7 metres; or fork lift truck.

Pressure systems 2 The failure of any closed vessel (including a boiler or boiler tube) or of any associated pipework, in which the internal pressure was above or below atmospheric pressure, where the failure has the potential to cause the death of any person. Freight containers 3 (1) The failure of any freight container in any of its load-bearing parts while it is being raised, lowered or suspended. (2) In this paragraph, freight container means a container as defined in regulation 2(1) of the Freight Containers (Safety Convention) Regulations 1984. Overhead electric lines 4 Any unintentional incident in which plant or equipment either (a) (b) comes into contact with an uninsulated overhead electric line in which the voltage exceeds 200 volts; or causes an electrical discharge from such an electric line by coming into close proximity to it.

Electrical short circuit 5 Electrical short circuit or overload attended by fire or explosion which results in the stoppage of the plant involved for more than 24 hours or which has the potential to cause the death of any person. Explosives 6 (1) Any of the following incidents involving explosives:
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Schedule Part 1

(a)

any unintentional fire, explosion or ignition at a site (i) where explosives are manufactured by a person who holds a licence, or who does not hold a licence but is required to, in respect of that manufacture under the Manufacture and Storage of Explosives Regulations 2005; or (ii) where explosives are stored by a person who holds a licence or is registered, or who is not licensed but is required to be in the absence of any registration, in respect of that storage under those Regulations; (aa) the unintentional explosion or ignition of explosives at a place other than a site described in sub-paragraph (1)(a), not being one (i) caused by the unintentional discharge of a weapon where, apart from that unintentional discharge, the weapon and explosives functioned as they were designed to do; or (ii) where a fail-safe device or safe system of work functioned so as to prevent any person from being injured in consequence of the explosion or ignition. (b) a misfire (other than one at a mine or a quarry or inside a well or one involving a weapon) except where a fail-safe device or safe system of work functioned so as to prevent any person from being endangered in consequence of the misfire; (c) the failure of the shots in any demolition operation to cause the intended extent of collapse or direction of fall of a building or structure; (d) the projection of material (other than in a quarry) beyond the boundary of the site on which the explosives are being used or beyond the danger zone in circumstances such that any person was or might have been injured thereby; (e) any injury to a person (other than at a mine or quarry or otherwise reportable under these Regulations) involving first-aid or medical treatment resulting from the explosion or discharge of any explosives or detonator or from any intentional fire or ignition. (2) In this paragraph danger zone means the area from which persons have been excluded or forbidden to enter to avoid being endangered by any explosion or ignition of explosives; and explosives has the same meaning as in the Manufacture and Storage of Explosives Regulations 2005. Biological agents 7 Any accident or incident which resulted or could have resulted in the release or escape of a biological agent likely to cause severe human infection or illness. Malfunction of radiation generators etc 8 (1) Any incident in which (a) the malfunction of a radiation generator or its ancillary equipment used in fixed or mobile industrial radiography, the irradiation of food or the processing of products by irradiation, causes it to fail to de-energise at the end of the intended exposure period; or the malfunction of equipment used in fixed or mobile industrial radiography or gamma irradiation causes a radioactive source to fail to return to its safe position by the normal means at the end of the intended exposure period.

(b)

(2) In this paragraph, radiation generator means any electrical equipment emitting ionising radiation and containing components operating at a potential difference of more than 5kV.

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Schedule Part 1

Breathing apparatus 9 (1) Any incident in which breathing apparatus malfunctions (a) (b) while in use, or during testing immediately prior to use in such a way that had the malfunction occurred while the apparatus was in use it would have posed a danger to the health or safety of the user. This paragraph shall not apply to breathing apparatus while it is being used in a mine; or maintained or tested as part of a routine maintenance procedure.

(2) (a) (b)

Diving operations 10 Any of the following incidents in relation to a diving operation (a) the failure or the endangering of (i) any lifting equipment associated with the diving projects, or (ii) life support equipment, including control panels, hoses and breathing apparatus,

which puts a diver at risk; (b) (c) (d) (e) any damage to, or endangering of the dive platform, or any failure of the dive platform to remain on station, which puts a diver at risk; the trapping of a diver; any explosion in the vicinity of a diver; or any uncontrolled ascent or any omitted decompression which puts a diver at risk.

Collapse of scaffolding 11 The complete or partial collapse of (a) any scaffold which is (i) more than 5 metres in height which results in a substantial part of the scaffold falling or overturning; or (ii) erected over or adjacent to water in circumstances such that there would be a risk of drowning to a person falling from the scaffold into the water; or the suspension arrangements (including any outrigger) of any slung or suspended scaffold which causes a working platform or cradle to fall.

(b)

Train collisions 12 Any unintended collision of a train with any other train or vehicle, other than one reportable under Part IV of this Schedule, which caused, or might have caused, the death of, or major injury to, any person. Wells 13 Any of the following incidents in relation to a well (other than a well sunk for the purpose of the abstraction of water) (a) (b) (c) a blow-out (that is to say an uncontrolled flow of well-fluids from a well); the coming into operation of a blow-out prevention or diversion system to control a flow from a well where normal control procedures fail; the detection of hydrogen sulphide in the course of operations at a well or in samples of well-fluids from a well where the presence of hydrogen sulphide in the reservoir being drawn on by the well was not anticipated
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Schedule Part 1

(d)

(e)

by the responsible person before that detection; the taking of precautionary measures additional to any contained in the original drilling programme following failure to maintain a planned minimum separation distance between wells drilled from a particular installation; or the mechanical failure of any safety critical element of a well (and for this purpose the safety critical element of a well is any part of a well whose failure would cause or contribute to, or whose purpose is to prevent or limit the effect of, the unintentional release of fluids from a well or a reservoir being drawn on by a well).

Pipelines or pipeline works 14 The following incidents in respect of a pipeline or pipeline works (a) the uncontrolled or accidental escape of anything from, or inrush of anything into, a pipeline which has the potential to cause the death of, major injury or damage to the health of any person or which results in the pipeline being shut down for more than 24 hours; the unintentional ignition of anything in a pipeline or of anything which, immediately before it was ignited, was in a pipeline; any damage to any part of a pipeline which has the potential to cause the death of, major injury or damage to the health of any person or which results in the pipeline being shut down for more than 24 hours; any substantial and unintentional change in the position of a pipeline requiring immediate attention to safeguard the integrity or safety of a pipeline; any unintentional change in the subsoil or seabed in the vicinity of a pipeline which has the potential to affect the integrity or safety of a pipeline; any failure of any pipeline isolation device, equipment or system which has the potential to cause the death of, major injury or damage to the health of any person or which results in the pipeline being shut down for more than 24 hours; or any failure of equipment involved with pipeline works which has the potential to cause the death of, major injury or damage to the health of any person.

(b) (c) (d) (e) (f)

(g)

Fairground equipment 15 The following incidents on fairground equipment in use or under test (a) (b) (c) the failure of any load-bearing part; the failure of any part designed to support or restrain passengers; or the derailment or the unintended collision of cars or trains.

Carriage of dangerous substances by road 16 (1) Any incident involving a road tanker or tank container used for the carriage of dangerous goods in which (a) (b) (c) (d) the road tanker or vehicle carrying the tank container overturns (including turning onto its side); the tank carrying the dangerous goods is seriously damaged; there is an uncontrolled release or escape of the dangerous goods being carried; or there is a fire involving the dangerous goods being carried.

17 (1) Any incident involving a vehicle used for the carriage of dangerous goods, other than a vehicle to which paragraph 16 applies, where there is
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Schedule Part 1

(a) (b)

an uncontrolled release or escape of the dangerous goods being carried in such a quantity as to have the potential to cause the death of, or major injury to, any person; or a fire which involves the dangerous goods being carried.

17A In paragraphs 16 and 17 above, carriage and dangerous goods have the same meaning as those terms in regulation 2(1) of CDG2007.

Dangerous occurrences which are reportable except in relation to offshore workplaces


Collapse of building or structure 18 Any unintended collapse or partial collapse of (a) (b) (c) any building or structure (whether above or below ground) under construction, reconstruction, alteration or demolition which involves a fall of more than 5 tonnes of material; any floor or wall of any building (whether above or below ground) used as a place of work; or any false-work.

Explosion or fire 19 An explosion or fire occurring in any plant or premises which results in the stoppage of that plant or as the case may be the suspension of normal work in those premises for more than 24 hours, where the explosion or fire was due to the ignition of any material. Escape of flammable substances 20 (1) The sudden, uncontrolled release (a) inside a building (i) of 100 kilograms or more of a flammable liquid, (ii) of 10 kilograms or more of a flammable liquid at a temperature above its normal boiling point, or (iii) of 10 kilograms or more of a flammable gas; or in the open air, of 500 kilograms or more of any of the substances referred to in sub-paragraph (a) above.

(b)

(2) In this paragraph, flammable liquid and flammable gas mean respectively a liquid and a gas so classified in accordance with regulation 5(2), (3) or (5) of the Chemicals (Hazard Information and Packaging for Supply) Regulations 2002. Escape of substances 21 The accidental release or escape of any substance in a quantity sufficient to cause the death, major injury or any other damage to the health of any person.

Guide Schedule Part I

Guidance notes on dangerous occurrences


108 The list of dangerous occurrences in Schedule 2 is designed to obtain information primarily about incidents which have a high potential to cause death or serious injury (even though they do not actually cause death or reportable injury), but which happen relatively infrequently. Collecting the information gives the enforcing authorities the opportunity to learn about the circumstances in which they

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occur and about their causes. This widens the pool of information which can be used to help business in accident prevention work. 109 In some cases it may not be clear immediately whether an incident has a high potential to cause injury. In such cases it is better for the responsible person to make a judgement so a prompt report can be made, rather than waiting until the potential to cause injury is confirmed by tests, further investigation etc. Such a delay could lead to the loss of valuable information relating to the incident. 110 The term plant is used on a number of occasions in Schedule 2. This is defined in the HSW Act as including any machinery, equipment or appliance. Lifting machinery (paragraph 1) 111 The definition covers the collapse of any of the machinery or equipment listed, the overturning of any such machinery or equipment or the failure of any loadbearing part of it, whether used for lifting goods, materials or people. It does not cover the failure of ancillary equipment, such as electric operating buttons or radius indicators, or failures of lifting tackle or lifting accessories, such as chains and slings. 112 The phrase mobile powered access platform means any platform where the movement of the platform itself is powered, and not necessarily the movement of its supporting vehicle. Power elevated platforms mounted on manually moved vehicles are included. Fixed or mobile tower scaffolds are not included. 113 Incidents involving cranes must be reported irrespective of the nature of the work being done, and reports must not be restricted to those involving lifting and lowering. For example, a collapse or overturning when a machine is being used for drop balling must be included. 114 A pile-driving frame or rig includes a bored piling rig or a percussion piling rig comprising substantially a crane with a jib, normally mounted on crawler tracks, which has been adapted by the addition of pile-driving parts. Pressure systems (paragraph 2) 115 The definition covers the failure of closed vessels or associated pipework with the potential to cause the death of any person. Vessels and associated pipework subjected to either positive or negative internal pressure are included by this definition. 116 It applies to any such vessel whatever its contents, ie to a vessel containing air, steam, water, or any other gas, vapour or liquid. It applies to moveable as well as to fixed vessels. 117 Incidents requiring notification due to having the potential to cause the death of any person include scaldings or burns arising from contact with steam, hot water or other hot liquids, liquors, products or substances, and immersion or splashing with chemicals. 118 Other examples of incidents which might be notifiable as having potential to cause death would be those where a person was either struck by, or could have been struck by, a projectile emitted from the failure of a closed vessel under pressure. In the event of an explosion, this might be a fixture or component, the vessel itself, or a secondary projectile arising from the destruction of structures close to the vessel, for example falling debris such as masonry or window glass, or shrapnel from buildings or other structures.

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119 However, incidents caused by the failure of a closed vessel, such as the explosion of an oven in a bakery due to a build-up of fuel gases arising, for example, from a defective flame failure device would be excluded from this category of dangerous occurrence. It would be more appropriate to notify such an incident as an Explosion or fire under Schedule 2: Part I, paragraph 19. Freight containers (paragraph 3) 120 This definition covers any container which is an article of transport equipment and is: (a) (b) (c) (d) permanent in character and strong enough for repeated use; designed to enable the transport of goods by one or more modes of transport without intermediate reloading; designed to be secured or readily handled or both, having corner fittings for these purposes; and of a size such that the area enclosed by the outer bottom corners is either: (i) if the container is fitted with top corner fittings, at least 7 square metres; or (ii) in any other case, at least 14 square metres.

121 The definition covers a container when carried on a chassis but the term container does not include: (a) (b) (c) a vehicle or packaging; any article of transport equipment designed solely for use in air transport; or a swap body (road or rail container without stacking capability and top lift facilities) except when it is carried by or on board a sea-going ship and is not mounted on a road vehicle or rail wagon.

122 The term corner fittings used above means an arrangement of apertures and faces at either the top or the bottom, or both at the top and the bottom of the container for the purposes of handling, stacking and securing or any one of those purposes. Overhead electric lines (paragraph 4) 123 Paragraph 4 refers to incidents involving uninsulated, live, overhead electric lines carrying more than 200 V. Examples of the kinds of incident which are covered and which must be notified and reported are: (a) (b) (c) accidental contact of a mobile crane or a vehicle with an overhead line; accidental contact with an overhead line by something being carried or lifted; and the collapse of something (eg an engineering structure) across an overhead line.

Electrical short circuit (paragraph 5) 124 Where the failure of an item of electrical equipment results in a fire or explosion, the failure is reportable as a dangerous occurrence if the equipment concerned is rendered unusable for over 24 hours, or if the occurrence was one with the potential to cause the death of any person. The incident is reportable even if the system in which the damaged equipment was installed is put back into service using new equipment within 24 hours. In such a case an assessment should be made on how long a repair to the damaged equipment would have taken had it been attempted. Explosives (paragraph 6) 125 This definition covers:
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(a)

(b) (c)

unintentional fires, explosions or ignitions involving explosives at premises where people hold or are required to hold a licence for the manufacture or storage of explosives under the Manufacture and Storage of Explosives Regulations 2005 (before 2005 such incidents were reportable under the Explosives Act 1875); unintentional explosions or ignitions involving explosives at premises other than licensed sites, except certain unintentional discharges of weapons or where a fail-safe device or system of work functioned to prevent injury; specific incidents arising in work situations from the use of explosives. For misfires that occur in a quarry see paragraph 45, Schedule 2, Part III.

126 Certificate of Exemption No 4 of 2007 exempts certain minor unintentional ignitions at licensed sites from the requirement to report as dangerous occurrences. Among the conditions of the exemption is that the process on which the ignition occurs has been registered in advance with HSE as having a fail-safe device or safe system of work designed to prevent injury. Further details can be obtained from HSEs Explosives Inspectorate. Biological agents (paragraph 7) 127 Guidance on the definition of biological agents is given under Schedule 1. Severe human infection can be regarded as that caused by biological agents in Hazard Groups 3 and 4 as defined in COSHH 2002 Schedule 3, paragraph 2(2) and as set out in the latest edition of the Management, design and operation of microbiological containment laboratories11 or otherwise being agents classified provisionally by an employer as being in one of those groups (COSHH Schedule 3, paragraph 2(2)). More specialised guidance on the application of this and other aspects of RIDDOR in the healthcare sector10 is available from HSE. Malfunction of radiation generators etc (paragraph 8) 128 There are two types of equipment whose malfunction is covered here: radiation generators and equipment using radioactive sources (eg gamma ray sources). The Ionising Radiations Regulations 1999 define a radiation generator as any electrical equipment emitting ionising radiation and containing components operating at a potential difference of more than 5 kV. 129 The processes covered include all types of industrial radiography such as radiography in fixed enclosures, site radiography, and radiography in closed cabinets. Irradiation of food and processing of products by irradiation are high-dose treatments and cover panoramic systems as well as self-contained units. In each case it is the failure of the means for de-energising the radiation generator at the end of the intended exposure period that constitutes a notifiable dangerous occurrence. 130 Also notifiable are incidents where equipment malfunction causes a radioactive source to fail to return to a safe (shielded) position at the end of the intended exposure period. The sources will commonly be gamma ray sources, but in industrial radiography could be beta ray or neutron sources. The processes covered once again include all types of industrial radiography, and use of gamma irradiation equipment (panoramic or self-contained). The type of equipment must be such that the source goes from a safe state to an exposed state in use, and operation of manual or automatic control systems normally returns the source to its shielded state. Any malfunction affecting the equipment and its control system causing the failure of the source to return to this state at the end of the intended exposure period constitutes a notifiable dangerous occurrence. 131 These incidents must be notified whether or not anyone is exposed to ionising radiation as a result of the incident occurring. The notification of cases in which
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people receive excessive doses of ionising radiation is covered by the Ionising Radiations Regulations 1999 in addition to these requirements. Other types of escape from control of the radioactive source (eg through leakage of the radioactive material out of a sealed source, or loss or theft of equipment containing a source) are also covered by the Ionising Radiations Regulations 1999 and are, therefore, not notifiable under RIDDOR (see regulation 10). 132 It should be noted that malfunctions of X-ray equipment and gamma radiography equipment (including pipeline crawlers), used in the non-destructive testing of pipeline welds, may lead to dangerous occurrences reportable under this heading. Breathing apparatus (paragraph 9) 133 This definition applies to breathing apparatus used under water as well as in contaminated atmospheres or where there may be a lack of oxygen. It refers to a session of use of the apparatus during or immediately before which a malfunction is detected. The malfunction may be present and be detected immediately before the session (including any testing by the wearer immediately before use), or it may occur at some point after the session has started. If a serious malfunction is not detected in good time and the wearer suffers a major injury, then the incident will be reportable under regulation 3(1). 134 The term malfunction does not include leakage into a face mask due to a poor fit to the face or a failure caused by an external source such as damage due to entanglement or falling debris. Diving operations (paragraph 10) 135 The phrase which puts a diver at risk, would include the potential for a fatality, major injury or reportable disease. Collapse of scaffolding (paragraph 11) 136 The incidents covered here are those involving any scaffold. This would, for example, include any tower, trestle, slung or suspended scaffold. Incidents involving the failure of the suspension arrangements of slung or suspended scaffolds are also covered if the failure causes a working platform or cradle to fall. Reportable failures of suspension arrangements would include failures of outriggers, roof rigs or suspension ropes or winches. 137 The figure of 5 metres used in relation to the height of scaffolding refers to the height of the scaffolding itself from whatever base and not necessarily to the distance between the top of the scaffold and the ground. Train collisions (paragraph 12) 138 This dangerous occurrence applies to railways not covered by Part IV of Schedule 2 (those regarded as relevant transport systems). It therefore applies to collisions between rail-mounted locomotives or trains and other vehicles within factory or dock premises. Wells (paragraph 13) 139 The incidents listed are reportable in respect of all wells, both onshore and offshore, drilled for the exploration or exploitation of oil or gas, including the production of coal bed methane for commercial purposes. They also apply to wells drilled in connection with the exploitation of oil or gas, for example those used to support reservoir pressure through water or gas injection. The following notes refer to the list of incidents: (a) Reports are required for all blowouts, including those of limited duration.
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(b)

(c)

(d)

Reports are required for all incidents where a blowout preventer is closed or a diverter is operated to control an unplanned flow into the well-bore from the adjoining formations, but not where flow is planned as part of an operation. This includes underground blowouts, where the well fluids flow to subsurface rock formations rather than to the surface. Reports are not required where flow is due solely to variations in the density of fluid across pipe installed in the well bore, an effect commonly known as u-tubing; nor where it is known that mud previously lost to the formation is subsequently returned, an effect commonly known as ballooning or breathing. All unplanned well intersections, where a well is unintentionally drilled into an existing one, are reportable. Near misses should also be reported if normal drilling operations have to be interrupted to take remedial action to reduce the risk of collision. Failures of the primary pressure containment envelope of a well or of safety devices, namely blowout preventers or surface, subsea and subsurface safety valves, should be reported where there is a major loss of pressure integrity requiring immediate remedial action. It is not necessary to report minor leaks or failures found and rectified during routine maintenance, including replacement of worn components. Significant leakages around a well of hydrocarbon gas from shallow formations should also be reported.

Pipelines or pipeline works (paragraph 14) (see also Appendices 3 and 4) 140 The incidents listed are reportable in respect of both onshore and offshore pipelines or pipeline works (see paragraph 25 for definitions of pipeline and pipeline works). Some pipelines (eg drains and sewers) are exempt from this reporting requirement. Details are given in Appendices 3 and 4. 141 The person responsible for reporting incidents 14(a)-(f) is the owner of the pipeline. Incidents falling under 14(g) are reportable by the person in charge of the place where the works (such as laying a pipe) are going on, except that if the incident involves a diving operation, the diving contractor will be responsible for reporting. The following notes refer to the list of incidents: (a) (b) This is not intended to include minor leaks from pipelines, eg small leaks from valve stems, flanges etc. However, sudden or uncontrolled escapes requiring immediate attention or action should be reported. Examples of reportable damage with the potential for harm would include such things as gouging, denting, buckling etc caused by external interference requiring immediate action. Such damage may or may not have resulted in any escape of the pipeline contents. Shutdown following discovery of substantial internal or external corrosion, such that it would not be safe to continue operating the pipeline, should also be reported. External coating damage without damage to the underlying substrate would not be reportable. Examples of reportable occurrences would include movement of offshore pipelines following development of critical spans and subsequent instability or displacement due to wave action or boat impact. Occurrences not reportable would include spans detected and rectified as a result of routine inspection activities. Such occurrences would include landslips, subsidence etc onshore, in the vicinity of pipelines, and similar movement in the seabed. Isolation devices would include both equipment associated with normal operation of the pipeline such as emergency shutdown systems and devices used during non-routine activities involving stopples, ice plugs etc. This is intended to cover such things as failure of tensioners or lay down equipment offshore and winching/tensioning equipment at onshore landfall sites.

(c)

(d) (e) (f)

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Carriage of dangerous goods by road: tankers and tank containers (paragraph 16) 142 Incidents involving road tankers and tank containers to which the Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2007 (CDG 2007) apply are covered by this definition. 143 Any overturning incident, including a vehicle rolling over onto its side, is covered by paragraph 16(1)(a) and must be reported, regardless of whether or not damage is caused to the tank containing the dangerous goods. 144 The term seriously damaged in paragraph 16(1)(b) includes damage which is thought to be likely to require significant repairs to the tank which would invalidate the original certification provided for the purposes of regulation 60, or in the case of an old tank, Schedule 2, of CDG 2007. 145 Paragraph 16(1)(c) covers all uncontrolled releases or escapes of dangerous goods, whether from valves, pipework or the body of the tanker or tank container, except for normal relieving of gas or vapour through pressure relief devices. However, relieving of gas or vapour through a pressure relief system would be covered if this was, for example, brought about by an incident such as a fire in which the flames impinged on the tank. 146 Any fire involving the dangerous goods being carried must be reported, whether it is due to ignition of the dangerous goods itself, the ignition of fuel used by the vehicle or to ignition by any other source of fire. Carriage of dangerous substances by road other than by tankers and tank containers (paragraph 17) 147 Paragraph 17 is concerned with incidents involving the carriage by road of the dangerous goods defined by regulation 2(1) of the Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2007 (CDG 2007) other than those listed in paragraph 17A of Schedule 2 of RIDDOR. 148 The incidents covered by paragraph 17(1)(a) are uncontrolled releases or escapes of such substances, while being carried by road, from packages or containers such as cartons, cans, bottles, carboys, gas cylinders, drums, sacks and small tank containers. They include releases or escapes due to breakage or damage during loading or unloading, resulting from poor stowage or insecure loads or resulting from road traffic accidents. 149 Paragraph 17(1)(b) covers any fire involving the dangerous goods while being carried by road in any package or container, or by any other means except the tankers or tank containers covered by paragraph 16, regardless of the source of the fire. NB The dangerous occurrences defined in paragraphs 18 to 21 of Schedule 2 do not apply to offshore workplaces. Collapse of building or structure (paragraph 18) 150 The false-work referred to in paragraph 18(c) means any temporary structure used to support a permanent structure during its erection and until that structure becomes self-supporting. 151 Examples of incidents reportable under paragraph 18(b) would include: (a) the collapse of a heavily loaded floor in a building;

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(b)

the collapse of any floor or wall as a result of a vehicle colliding with a building used as work premises.

Explosion or fire (paragraph 19) 152 This definition covers the more serious fires and explosions which might arise from the ignition of any material on the premises. Examples of the type of incident which would be reportable are: (a) (b) any fire at a factory or office building, causing the suspension of work activities for more than 24 hours; or an explosion involving dust in a pneumatic conveying system, causing stoppage of the conveying plant for more than 24 hours.

Escape of flammable substances (paragraph 20) 153 This definition is designed to cover releases of flammable liquids or gases (eg due to the sudden failure of a storage vessel) where the release, if ignited, would cause a major explosion or fire. Escape of substances (paragraph 21) 154 The substances covered by this definition may be in any form: liquid, solid (eg powder), gaseous or vapour and may include, for example: (a) (b) (c) substances which may be hazardous to health (eg asbestos, phosgene, toluene diisocyanate); substances which may be either corrosive or potentially hazardous by virtue of their temperature or pressure (eg nitric acid, molten metal, liquid nitrogen); substances which may, depending upon the circumstances of the escape, present a fire or explosion hazard (eg oxygen, acetylene).

155 Examples of the kinds of incident involving substances which might be covered by the definition are escapes arising from the failure or breakage of plant, pipes, equipment or apparatus; failures of process control; the operation of a relief valve or bursting disc where the escaping substance is not safely controlled or directed; and spillages from containers and equipment. 156 Releases from plant etc during the normal course of operation or maintenance (eg during sampling, packaging or draining of lines) that are sufficiently well controlled to ensure that no person is put at risk would not be reportable. 157 The decision as to whether or not an incident is reportable depends upon factors such as the nature of the substance and its chemical, physical and toxicological properties, the amount which escaped and its dispersal, and whether people could have been present at the time.

Schedule Part II

Regulation 2(1) PART II DANGEROUS OCCURRENCES WHICH ARE REPORTABLE IN RELATION TO MINES
Fire or ignition of gas 22 The ignition, below ground, of any gas (other than gas in a safety lamp) or of any dust. 23 The accidental ignition of any gas in part of a firedamp drainage system on the surface or in an exhauster house.
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24

The outbreak of any fire below ground.

25 An incident where any person in consequence of any smoke or any other indication that a fire may have broken out below ground has been caused to leave any place pursuant to either Regulation 11(1) of the Coal and Other Mines (Fire and Rescue) Regulations 1956 or section 79 of the Mines and Quarries Act 1954. 26 The outbreak of any fire on the surface which endangers the operation of any winding or haulage apparatus installed at a shaft or unwalkable outlet or of any mechanically operated apparatus for producing ventilation below ground. Escape of gas 27 Any violent outburst of gas together with coal or other solid matter into the mine workings except when such outburst is caused intentionally. Failure of plant or equipment 28 The breakage of any rope, chain, coupling, balance rope, guide rope, suspension gear or other gear used for or in connection with the carrying of persons through any shaft or staple shaft. 29 The breakage or unintentional uncoupling of any rope, chain, coupling, rope tensioning system or other gear used for or in connection with the transport of persons below ground, or breakage of any belt, rope or other gear used for or in connection with a belt conveyor designated by the mine manager as a man-riding conveyor. 30 An incident where any conveyance being used for the carriage of persons is overwound; or any conveyance not being so used is overwound and becomes detached from its winding rope; or any conveyance operated by means of the friction of a rope on a winding sheave is brought to rest by the apparatus provided in the headframe of the shaft or in the part of the shaft below the lowest landing for the time being in use, being apparatus provided for bringing the conveyance to rest in the event of its being overwound. 31 The stoppage of any ventilating apparatus (other than an auxiliary fan) which causes a substantial reduction in ventilation of the mine lasting for a period exceeding 30 minutes, except when for the purpose of planned maintenance. 32 The collapse of any headframe, winding engine house, fan house or storage bunker. Breathing apparatus 33 At any mine an incident where (a) (b) breathing apparatus or a smoke helmet or other apparatus serving the same purpose or a self-rescuer, while being used, fails to function safely or develops a defect likely to affect its safe working; or immediately after using and arising out of the use of breathing apparatus or a smoke helmet or other apparatus serving the same purpose or a self rescuer, any person receives first-aid or medical treatment by reason of his unfitness or suspected unfitness at the mine.

Injury by explosion of blasting material etc 34 An incident in which any person suffers an injury (not being a major injury or one reportable under regulation 3(2)) which results from an explosion or discharge of any blasting material or device within the meaning of section 69(4) of the Mines

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and Quarries Act 1954 for which he receives first-aid or medical treatment at the mine. Use of emergency escape apparatus 35 An incident where any apparatus is used (other than for the purpose of training and practice) which has been provided at the mine in accordance with regulation 4 of the Mines (Safety of Exit) Regulations 1988 or where persons leave the mine when apparatus and equipment normally used by persons to leave the mine is unavailable. Inrush of gas or water 36 Any inrush of noxious or flammable gas from old workings. 37 Any inrush of water or material which flows when wet from any source.

Insecure tip 38 Any movement of material or any fire or any other event which indicates that a tip to which Part I of the Mines and Quarries (Tips) Act 1969 applies, is or is likely to become insecure. Locomotives 39 Any incident where an underground locomotive when not used for testing purposes is brought to rest by means other than its safety circuit protective devices or normal service brakes. Falls of ground 40 Any fall of ground not being part of the normal operations at a mine, which results from a failure of an underground support system and prevents persons travelling through the area affected by the fall or which otherwise exposes them to danger.

Schedule Part III

PART III DANGEROUS OCCURRENCES WHICH ARE REPORTABLE IN RELATION TO qUARRIES


Collapse of storage bunkers 41 The collapse of any storage bunker. Sinking of craft 42 The sinking of any water-borne craft or hovercraft. Injuries 43 (1) An incident in which any person suffers an injury (not otherwise reportable under these Regulations) which results from an explosion or from the discharge of any explosives for which he receives first-aid or medical treatment at the quarry. (2) In this paragraph, explosives has the same meaning as in regulation 2(1) of the Quarries Regulations 1999. Projection of substances outside quarry 44 Any incident in which any substance is ascertained to have been projected beyond a quarry boundary as a result of blasting operations in circumstances in which any person was or might have been endangered. Misfires 45 Any misfire, as defined by regulation 2(1) of the Quarries Regulations 1999.
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Insecure tips 46 Any event (including any movement of material or any fire) which indicates that a tip, to which the Quarries Regulations 1999 apply, is or is likely to become insecure. Movement of slopes or faces 47 Any movement or failure of an excavated slope or face which (a) (b) has the potential to cause the death of any person; or adversely affects any building, contiguous land, transport system, footpath, public utility or service, watercourse, reservoir or area of public access.

Explosions or fires in vehicles or plant 48 (1) Any explosion or fire occurring in any large vehicle or mobile plant which results in the stoppage of that vehicle or plant for more than 24 hours and which affects (a) (b) (2) (c) (d) any place where persons normally work; or the route of egress from such a place. In this paragraph, large vehicle or mobile plant means a dump truck having a load capacity of at least 50 tonnes; or an excavator having a bucket capacity of at least 5 cubic metres.

Schedule Part IV

PART IV DANGEROUS OCCURRENCES WHICH ARE REPORTABLE IN RESPECT OF RELEVANT TRANSPORT SySTEMS
Accidents to passenger trains 49 Any collision in which a passenger train collides with another train 50 Any case where a passenger train or any part of such a train unintentionally leaves the rails. Accidents not involving passenger trains 51 Any collision between trains, other than one between a passenger train and another train, on a running line where any train sustains damage as a result of the collision, and any such collision in a siding which results in a running line being obstructed 52 Any derailment, of a train other than a passenger train, on a running line, except a derailment which occurs during shunting operations and does not obstruct any other running line. 53 Any derailment, of a train other than a passenger train, in a siding which results in a running line being obstructed. Accidents involving any kind of train 54 Any case of a train striking a buffer stop, other than in a siding, where damage is caused to the train. 55 Any case of a train striking any cattle or horse, whether or not damage is caused to the train, or striking any other animal if, in consequence, damage (including damage to the windows of the drivers cab but excluding other damage
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consisting solely in the breakage of glass) is caused to the train necessitating immediate temporary or permanent repair. 56 Any case of a train on a running line striking or being struck by any object which causes damage (including damage to the windows of the drivers cab but excluding other damage consisting solely in the breakage of glass) necessitating immediate temporary or permanent repair or which might have been liable to derail the train. 57 Any case of a train, other than one on a railway, striking or being struck by a road vehicle. 58 Any case of a passenger train, or any other train not fitted with continuous self applying brakes, becoming unintentionally divided. 59 (1) Any of the following classes of accident which occurs or is discovered whilst the train is on a running line (a) (b) (c) (d) (e) (f) the failure of an axle; the failure of a wheel or tyre, including a tyre loose on its wheel; the failure of a rope or the fastenings thereof or of the winding plant or equipment involved in working an incline; any fire, severe electrical arcing or fusing in or on any part of a passenger train or a train carrying dangerous goods; in the case of any train other than a passenger train, any severe electrical arcing or fusing, or any fire which was extinguished by a fire-fighting service; or any other failure of any part of a train which is likely to cause an accident to that or any other train or to kill or injure any person.

(2) In this paragraph dangerous goods has the meaning assigned to it in regulation 2(1) of CDG 2007. Accidents and incidents at level crossings 60 Any case of a train striking a road vehicle or gate at a level crossing. 61 Any case of a train running onto a level crossing when not authorised to do so. 62 A failure of the equipment at a level crossing which could endanger users of the road or path crossing the railway. Accidents involving the permanent way and other works on or connected with a relevant transport system 63 The failure of a rail in a running line or of a rack rail, which results in (a) (b) a complete fracture of the rail through its cross-section; or in a piece becoming detached from the rail which necessitates an immediate stoppage of traffic or the immediate imposition of a speed restriction lower than that currently in force.

64 A buckle of a running line which necessitates an immediate stoppage of traffic or the immediate imposition of a speed restriction lower than that currently in force. 65 Any case of an aircraft or a vehicle of any kind landing on, running onto or coming to rest foul of the line, or damaging the line, which causes damage which obstructs the line or which damages any railway equipment at a level crossing.
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66

The runaway of an escalator, lift or passenger conveyor.

67 Any fire or severe arcing or fusing which seriously affects the functioning of signalling equipment. 68 Any fire affecting the permanent way or works of a relevant transport system which necessitates the suspension of services over any line, or the closure of any part of a station or signal box or other premises, for a period (a) (b) in the case of a fire affecting any part of a relevant transport system below ground, of more than 30 minutes, and in any other case, of more than 1 hour.

69 Any other fire which causes damage which has the potential to affect the running of a relevant transport system. Accidents involving failure of the works on or connected with a relevant transport system 70 (1) The following classes of accident where they are likely either to cause an accident to a train or to endanger any person (a) (b) (c) (d) (e) (f) the failure of a tunnel, bridge, viaduct, culvert, station, or other structure or any part thereof including the fixed electrical equipment of an electrified relevant transport system; any failure in the signalling system which endangers or which has the potential to endanger the safe passage of trains other than a failure of a traffic light controlling the movement of vehicles on a road; a slip of a cutting or of an embankment; flooding of the permanent way; the striking of a bridge by a vessel or by a road vehicle or its load; or the failure of any other portion of the permanent way or works not specified above.

Incidents of serious congestion 71 Any case where planned procedures or arrangements have been activated in order to control risks arising from an incident of undue passenger congestion at a station unless that congestion has been relieved within a period of time allowed for by those procedures or arrangements. Incidents of signals passed without authority 72 (1) Any case where a train, travelling on a running line or entering a running line from a siding, passes without authority a signal displaying a stop aspect unless (a) the stop aspect was not displayed in sufficient time for the driver to stop safely at the signal.

Schedule Part V

PART V DANGEROUS OCCURRENCES WHICH ARE REPORTABLE IN RESPECT OF AN OFFSHORE WORkPLACE


Release of petroleum hydrocarbon 73 Any unintentional release of petroleum hydrocarbon on or from an offshore installation which (a) results in

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Schedule Part V

2
(b)

(i) (ii)

a fire or explosion; or the taking of action to prevent or limit the consequences of a potential fire or explosion; or has the potential to cause death or major injury to any person.

Fire or explosion 74 Any fire or explosion at an offshore installation, other than one to which paragraph 73 above applies, which results in the stoppage of plant or the suspension of normal work. Release or escape of dangerous substances 75 The uncontrolled or unintentional release or escape of any substance (other than petroleum hydrocarbon) on or from an offshore installation which has the potential to cause the death of, major injury to or damage to the health of any person. Collapses 76 Any unintended collapse of any offshore installation or any unintended collapse of any part thereof or any plant thereon which jeopardises the overall structural integrity of the installation. Dangerous occurrences 77 Any of the following occurrences having the potential to cause death or major injury (a) (b) (c) the failure of equipment required to maintain a floating offshore installation on station; the dropping of any object on an offshore installation or on an attendant vessel or into the water adjacent to an installation or vessel; or damage to or on an offshore installation caused by adverse weather conditions.

Collisions 78 Any collision between a vessel or aircraft and an offshore installation which results in damage to the installation, the vessel or the aircraft. 79 Any occurrence with the potential for a collision between a vessel and an offshore installation where, had a collision occurred, it would have been liable to jeopardise the overall structural integrity of the offshore installation. Subsidence or collapse of seabed 80 Any subsidence or local collapse of the seabed likely to affect the foundations of an offshore installation or the overall structural integrity of an offshore installation. Loss of stability or buoyancy 81 Any incident involving loss of stability or buoyancy of a floating offshore installation. Evacuation 82 Any evacuation (other than one arising out of an incident reportable under any other provision of these Regulations) of an offshore installation, in whole or part, in the interests of safety. Falls into water 83 Any case of a person falling more than 2 metres into water (unless the fall results in death or injury required to be reported under sub-paragraphs (a)-(d) of regulation 3(1)).
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Guide Schedule Part V

Guidance notes on dangerous occurrences offshore


158 The dangerous occurrences in this part are reportable only if they occur at an offshore workplace (see paragraph 22), ie at or in connection with an offshore installation, offshore well or offshore pipeline. Most of the incidents are further restricted to those involving offshore installations only (see paragraph 21). Note that in this section offshore installation includes subsea units, but excludes tied back wells, pipelines and associated apparatus or works within 500 m of the installations main structure, and fixed towers not associated with oil and gas activities. 159 Paragraphs 77 and 78 extend to activities in connection with offshore installations. Paragraph 83 applies to the full range of offshore workplaces (see paragraph 21 and 22). Release of petroleum hydrocarbon (paragraph 73) 160 This refers to confirmed unintentional releases of petroleum hydrocarbons. Suspected releases which turn out to be false (eg spurious alarms) are not reportable. 161 To be reportable, releases must also lead to one of the following outcomes: (a) (i) (ii) a fire or explosion. This includes all types of fires, ie flash, jet or pool, regardless of the length of time of burning; action to prevent or limit the consequences of a potential fire or explosion. A release with the potential for fire or explosion would involve a risk of fire or explosion sufficient to require preventive or evasive action. Small gas leaks detected during routine monitoring and maintenance, eg Draeger tube checking on valves, seals etc where there is limited risk to personnel, need not be reported. To be reportable, the action taken must be intended to prevent or limit the consequences of a potential fire or explosion. Simply taking action to confirm a release following an alarm, for example by instrument reading, but which requires no further action, would not be reportable. However, it may precede more direct action which is reportable. Examples of actions which would mean that the release is reportable are: (b) emergency stoppage of individual plant, either automatically or by operator intervention, to control leakage of process or non-process hydrocarbons; stoppage of or suspension of work on a particular process or stoppage of a permit-to-work following confirmation of a hydrocarbon release with a potential for fire or explosion; operation of deluge, fixed fire-fighting system, blowdown etc or other preventive or limiting measures as a result of a confirmed hydrocarbon release; general shutdown, muster, evacuation of the area, or any combination of these actions following a confirmed release.

the potential to cause death or major injury to any person. Hydrocarbon releases not covered by (a)(i) or (ii) above, but which may also give cause for concern (eg where associated with high hydrogen sulphide (H2S) toxicity, or where the release is dispersed or exhausts a limited inventory before action can be taken) are also reportable.

Fire or explosion (paragraph 74) 162 This covers fires or explosions not covered by paragraph 73, such as:
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(a) (b) (c)

hydrocarbon releases from flares, vents or diverters which exceed operational limits; inadvertent internal combustion, for example of unspent fuels within turbines or of flame/explosion propagation within flare systems; and fires or explosions involving wood, paints, explosives (if not covered by paragraph 6) etc.

Release or escape of dangerous substances (paragraph 75) 163 This covers releases of substances such as stored chemicals, superheated steam, or H2S where not associated with hydrocarbons. Collisions (paragraph 79) 164 It will not always be possible to estimate with any accuracy whether a collision could have occurred or what the consequences might have been. HSE is primarily interested to know of incidents in which the dutyholder considers there was a significant risk to the installation. Evacuation (paragraph 82) 165 Full or partial evacuation may be a response to an incident separately reportable under these Regulations (eg a fire or explosion), in which case it is not reportable under this paragraph. Paragraph 82 seeks to identify incidents not otherwise reportable, in which the risks are sufficient to warrant evacuation. It does not cover exercises or precautionary measures.

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Schedule 3 Reportable diseases

Schedule Part I

Regulation 5 PART I OCCUPATIONAL DISEASES


(Guidance is given in paragraph 166 on those items marked with an asterisk.)

Column 1 Diseases 1* Inflammation, ulceration or malignant disease of the skin due to ionising radiation. Malignant disease of the bones due to ionising radiation. Blood dyscrasia due to ionising radiation. Cataract due to electromagnetic radiation. Decompression illness. Barotrauma resulting in lung or other organ damage. Dysbaric osteonecrosis. Cramp of the hand or forearm due to repetitive movements. Subcutaneous cellulitis of the hand (beat hand). Bursitis or subcutaneous cellulitis arising at or about the knee due to prolonged external friction or pressure at or about the knee (beat knee).

Column 2 Activities

Conditions due to physical agents and the physical demands of work

2*

3* 4*

Work with ionising radiation.

5* 6 7 8*

Work involving exposure to electromagnetic radiation (including radiant heat).

Work involving breathing gases at increased pressure (including diving).

Work involving prolonged periods of handwriting, typing or other repetitive movements of the fingers, hand or arm. Physically demanding work causing severe or prolonged friction or pressure on the hand. Physically demanding work causing severe or prolonged severe or friction or pressure at or about the knee

10

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Schedule Part I

Column 1 Diseases 11 Bursitis or subcutaneous cellulitis arising at or about the elbow due to severe or prolonged external friction or pressure at or about the elbow (beat elbow). Traumatic inflammation of the tendons of the hand or forearm or of the associated tendon sheaths. Carpal tunnel syndrome. Hand-arm vibration syndrome.

Column 2 Activities Physically demanding work causing severe or prolonged friction or pressure at or about the elbow.

12

Physically demanding work, frequent or repeated movements, constrained postures or extremes of extension or flexion of the hand or wrist. Work involving the use of hand-held vibrating tools. Work involving: (a) the use of chain saws, brush cutters or hand-held or hand-fed circular saws in forestry or woodworking; (b) the use of hand-held rotary tools in grinding material or in sanding or polishing metal; (c) the holding of material being ground or metal being sanded or polished by rotary tools; (d) the use of hand-held percussive metalworking tools or the holding of metal being worked upon by percussive tools in connection with riveting, caulking, chipping, hammering, fettling or swaging; (e) the use of hand-held powered percussive drills or hand-held powered percussive hammers in mining, quarrying or demolition, or on roads or footpaths (including road construction); or (f) the holding of material being worked upon by pounding machines in shoe manufacture.

13 14*

Infections due to biological agents 15 Anthrax. (a) Work involving handling infected animals, their products or packaging containing infected material; or (b) work on infected sites.

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Schedule Part I

Column 1 Diseases 16 Brucellosis.

Column 2 Activities Work involving contact with: (a) animals or their carcasses (including any parts thereof) infected by brucella or the untreated products of same; or (b) laboratory specimens or vaccines of or containing brucella.

17

(a)

Avian chlamydiosis.

Work involving contact with birds infected with chlamydia psittaci, or the remains or untreated products of such birds. Work involving contact with sheep infected with chlamydia psittaci or the remains or untreated products of such sheep. Work involving contact with: (a) human blood or human blood products; or (b) any source of viral hepatitis.

(b)

Ovine chlamydiosis.

18*

Hepatitis.

19

Legionellosis.

Work on or near cooling systems which are located in the workplace and use water; or work on hot water service systems located in the workplace which are likely to be a source of contamination. (a) Work in places which are or are liable to be infested by rats, field mice, voles or other small mammals; (b) work at dog kennels or involving the care or handling of dogs; or (c) work involving contact with bovine animals or their meat products or pigs or their meat products.

20

Leptospirosis.

21

Lyme disease.

Work involving exposure to ticks (including in particular work by forestry workers, rangers, dairy farmers, game keepers and other persons engaged in countryside management). Work involving contact with animals, their remains or their untreated products. Work involving handling or contact with infected animals.

22 23

Q fever. Rabies.

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Schedule Part I

Column 1 Diseases 24 Streptococcus suis.

Column 2 Activities Work involving contact with pigs infected with streptococcus suis, or with the carcasses, products or residues of pigs so affected. Work involving contact with soil likely to be contaminated by animals. Work with persons, animals, human or animal remains or any other material which might be a source of infection. Work with micro-organisms; work with live or dead human beings in the course of providing any treatment or service or in conducting any investigation involving exposure to blood or body fluids; work with animals or any potentially infected material derived from any of the above.

25 26

Tetanus. Tuberculosis.

27*

Any infection reliably attributable to the performance of the work specified in the entry opposite hereto.

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Schedule Part I

Column 1 Diseases Conditions due to substances 28 Poisonings by any of the following: (a) acrylamide monomer; (b) arsenic or one of its compounds; (c) benzene or a homologue of benzene; (d) beryllium or one of its compounds; (e) cadmium or one of its compounds; (f) carbon disulphide; (g) diethylene dioxide (dioxan); (h) ethylene oxide; (i) lead or one of its compounds; (j) manganese or one of its compounds; (k) mercury or one of its compounds; (l) methyl bromide; (m) nitrochlorobenzene, or a nitro- or amino- or chloroderivative of benzene or of a homologue of benzene; (n) oxides of nitrogen; (o) phosphorus or one of its compounds.

Column 2 Activities

Any activity.

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Schedule Part I

Column 1 Diseases 29 Cancer of a bronchus or lung.

Column 2 Activities (a) Work in or about a building where nickel is produced by decomposition of a gaseous nickel compound or where any industrial process which is ancillary or incidental to that process is carried on; or (b) work involving exposure to bis(chloromethyl) ether or any electrolytic chromium processes (excluding passivation) which involve hexavalent chromium compounds, chromate production or zinc chromate pigment manufacture. Any occupation in: (a) glass manufacture; (b) sandstone tunnelling or quarrying; (c) the pottery industry; (d) metal ore mining; (e) slate quarrying or slate production; (f) clay mining; (g) the use of siliceous materials as abrasives; (h) foundry work; (i) granite tunnelling or quarrying; or (j) stone cutting or masonry.

30

Primary carcinoma of the lung where there is accompanying evidence of silicosis.

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Schedule Part I

Column 1 Diseases 31 Cancer of the urinary tract.

Column 2 Activities 1 Work involving exposure to any of the following substances: (a) beta-naphthylamine or methylenebis- orthochloroaniline; (b) diphenyl substituted by at least one nitro or primary amino group or by at least one nitro and primary amino group (including benzidine); (c) any of the substances mentioned in sub-paragraph above if further ring substituted by halogeno, methyl or methoxy groups, but not by other groups; or (d) the salts of any of the substances mentioned in sub-paragraphs (a) to (c) above. 2 The manufacture of auramine or magenta.

32 33

Bladder cancer. Angiosarcoma of the liver.

Work involving exposure to aluminium smelting using the Soderberg process. (a) Work in or about machinery or apparatus used for the polymerisation of vinyl chloride monomer, a process which, for the purposes of this subparagraph, comprises all operations up to and including the drying of the slurry produced by the polymerisation and the packaging of the dried product; or (b) work in a building or structure in which only part of the process referred to in the foregoing subparagraph takes place.

34

Peripheral neuropathy.

Work involving the use or handling of or exposure to the fumes of or vapour containing n-hexane or methyl n-butyl ketone. Work involving exposure to chromic acid or to any other chromium compound.

35

Chrome ulceration of: (a) the nose or throat; or (b) the skin of the hands or forearm. Folliculitis. Acne. Skin cancer.

36 37 38

Work involving exposure to mineral oil, tar, pitch or arsenic.

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Schedule Part I

Column 1 Diseases 39 Pneumoconiosis (excluding asbestosis).

Column 2 Activities 1 (a) The mining, quarrying or working of silica rock or the working of dried quartzose sand, any dry deposit or residue of silica or any dry admixture containing such materials (including any activity in which any of the aforesaid operations are carried out incidentally to the mining or quarrying of other minerals or to the manufacture of articles containing crushed or ground silica rock); or (b) the handling of any of the materials specified in the foregoing sub-paragraph in or incidentally to any of the operations mentioned therein or substantial exposure to the dust arising from such operations. 2 The breaking, crushing or grinding of flint, the working or handling of broken, crushed or ground flint or materials containing such flint or substantial exposure to the dust arising from any of such operations. Sand blasting by means of compressed air with the use of quartzose sand or crushed silica rock or flint or substantial exposure to the dust arising from such sand blasting. Work in a foundry or the performance of, or substantial exposure to the dust arising from, any of the following operations: (a) the freeing of steel castings from adherent siliceous substance; or (b) the freeing of metal castings from adherent siliceous substance: (i) by blasting with an abrasive propelled by compressed air, steam or a wheel, or (ii) by the use of power-driven tools.

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Schedule Part I

Column 1 Diseases

Column 2 Activities 5 The manufacture of china or earthenware (including sanitary earthenware, electrical earthenware and earthenware tiles) and any activity involving substantial exposure to the dust arising therefrom. The grinding of mineral graphite or substantial exposure to the dust arising from such grinding. The dressing of granite or any igneous rock by masons, the crushing of such materials or substantial exposure to the dust arising from such operations. The use or preparation for use of an abrasive wheel or substantial exposure to the dust arising therefrom. (a) Work underground in any mine in which one of the objects of the mining operations is the getting of any material; (b) the working or handling above ground at any coal or tin mine of any materials extracted therefrom or any operation incidental thereto; (c) the trimming of coal in any ship, barge, lighter, dock or harbour or at any wharf or quay; or (d) the sawing, splitting or dressing of slate or any operation incidental thereto. 10 The manufacture or work incidental to the manufacture of carbon electrodes by an industrial undertaking for use in the electrolytic extraction of aluminium from aluminium oxide and any activity involving substantial exposure to the dust therefrom. 11 Boiler scaling or substantial exposure to the dust arising therefrom.

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Schedule Part I

Column 1 Diseases 40 Byssinosis.

Column 2 Activities The spinning or manipulation of raw or waste cotton or flax or the weaving of cotton or flax, carried out in each case in a room in a factory, together with any other work carried out in such a room. (a) The working or handling of asbestos or any admixture of asbestos; (b) the manufacture or repair of asbestos textiles or other articles containing or composed of asbestos; (c) the cleaning of any machinery or plant used in any of the foregoing operations and of any chambers, fixtures and appliances for the collection of asbestos dust; or (d) substantial exposure to the dust arising from any of the foregoing operations.

41

Mesothelioma.

42

Lung cancer.

43

Asbestosis.

44

Cancer of the nasal cavity or associated air sinuses.

(a) Work in or about a building where wooden furniture is manufactured; (b) work in a building used for the manufacture of footwear or components of footwear made wholly or partly of leather or fibre board; or (c) work at a place used wholly or mainly for the repair of footwear made wholly or partly of leather or fibre board.

Work in or about a factory building where nickel is produced by decomposition of a gaseous nickel compound or in any process which is ancillary or incidental thereto.

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Schedule Part I

Column 1 Diseases 45* Occupational dermatitis.

Column 2 Activities Work involving exposure to any of the following agents: (a) epoxy resin systems; (b) formaldehyde and its resins; (c) metalworking fluids; (d) chromate (hexavalent and derived from trivalent chromium); (e) cement, plaster or concrete; (f) acrylates and methacrylates; (g) colophony (rosin) and its modified products; (h) glutaraldehyde; (i) mercaptobenzothiazole, thiurams, substituted paraphenylenediamines and related rubber processing chemicals; (j) biocides, anti-bacterials, preservatives or disinfectants; (k) organic solvents; (l) antibiotics and other pharmaceuticals and therapeutic agents; (m) strong acids, strong alkalis, strong solutions (eg brine) and oxidising agents including domestic bleach or reducing agents; (n) hairdressing products including in particular dyes, shampoos, bleaches and permanent waving solutions; (o) soaps and detergents;

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Schedule Part I

Column 1 Diseases

Column 2 Activities (s) any other known irritant or sensitising agent including in particular any chemical bearing the warning may cause sensitisation by skin contact or irritating to the skin. Exposure to moulds, fungal spores or heterologous proteins during work in: (a) agriculture, horticulture, forestry, cultivation of edible fungi or maltworking; (b) loading, unloading or handling mouldy vegetable matter or edible fungi whilst same is being stored; (c) caring for or handling birds; or (d) handling bagasse. Work involving exposure to any of the following agents: (a) isocyanates; (b) platinum salts; (c) fumes or dust arising from the manufacture, transport or use of hardening agents (including epoxy resin curing agents) based on phthalic anhydride, tetrachlorophthalic anhydride, trimellitic anhydride or triethylenetetramine; (d) fumes arising from the use of rosin as a soldering flux; (e) proteolytic enzymes; (f) animals including insects and other arthropods used for the purposes of research or education or in laboratories; (g) dusts arising from the sowing, cultivation, harvesting, drying, handling, milling, transport or storage of barley, oats, rye, wheat or maize or the handling, milling, transport or storage of meal or flour made therefrom;

46

Extrinsic alveolitis (including farmers lung).

47*

Occupational asthma.

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Schedule Part I

Column 1 Diseases

Column 2 Activities (h) antibiotics; (i) cimetidine; (j) wood dust; (k) ispaghula; (l) castor bean dust; (m) ipecacuanha; (n) azodicarbonamide; (o) animals including insects and other arthropods (whether in their larval forms or not) used for the purposes of pest control or fruit cultivation or the larval forms of animals used for the purposes of research or education or in laboratories; (p) glutaraldehyde; (q) persulphate salts or henna; (r) crustaceans or fish or products arising from these in the food processing industry; (s) reactive dyes; (t) soya bean; (u) tea dust; (v) green coffee bean dust; (w) fumes from stainless steel welding; (x) any other sensitising agent, including in particular any chemical bearing the warning may cause sensitisation by inhalation.

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Guide Schedule Part I

Guidance on diseases/conditions in Schedule 3, Part I


166 The following table gives notes on those diseases in Schedule 3, Part I which have been highlighted with an asterisk. Disease/condition Schedule 3, Part I, Item No 1 Guidance

Inflammation, ulceration or malignant disease of the skin due to ionising radiation

The following conditions should always be reported under this heading: (a) erythema, primary or secondary radiation burns; (b) subsequent acute or chronic ulcers. Non-melanoma skin cancer is common in the general population. It need only be reported if the history of exposure or the features of the condition suggest an association with ionising radiation. This would be the case in respect of: (a) squamous cell carcinoma occurring after high-dose exposure or at the site of past ulceration; b) basal cell carcinoma where features such as multiple lesions suggest a possible relationship with ionising radiation. Sarcoma of the bone is reportable. Secondary malignant disease of the radiation bone is not reportable. The following conditions are reportable: (a) acute changes in the blood picture, eg reduction in the number of small lymphocytes where no other clinical causes are established and there is reason to believe that this is the result of acute exposure to ionising radiation; (b) acute leukaemias; (c) chronic myeloid leukaemia; (d) Non-Hodgkins lymphoma; (e) aplastic anaemia. Polycythaemia rubra vera is not reportable.

Malignant disease of the bones due to ionising radiation

Blood dyscrasia due to 3 ionising radiation

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Guide Schedule Part I

Disease/condition

3
Cataract due to electromagnetic radiation

Schedule 3, Part I, Item No 4

Guidance

Cataracts are common in the general population. They need not be reported where there is good reason to believe that they were not caused at work by exposure to electromagnetic radiation (eg ionising radiation, microwaves). Cataracts resulting from exposure to ionising radiations or to radiant heat typically occur at the posterior pole of the lens. Intense exposure to microwave radiation may result in anterior or posterior subcapsular opacities. Decompression illness is defined as any signs or symptoms arising from the presence of gas within tissues or vessels of the body following a reduction in ambient pressure. Cramp is reportable where it is a chronic condition linked to repetitive work movements. The condition is usually characterised by the inability to carry out a sequence of what were previously well co-ordinated movements. An acute incident of cramp which may occur in the course of work is not reportable.

Decompression illness

Cramp of the hand or forearm due to repetitive movements

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Guide Schedule Part I

Disease/condition

Hand-arm vibration syndrome (HAVS)

Schedule 3, Part I, Item No 14

Guidance

Workers whose hands are regularly exposed to high vibration, for example in industries where vibratory tools and machines are used, may suffer from several kinds of injury to the hands and arm including impaired blood circulation and damage to the nerves and muscles. The injuries collectivelyare known as hand-arm vibration syndrome. Other names used in industry include vibration white finger, dead finger, dead hand and white finger. The severity of the vascular and neurological effects is indicated using an agreed classification system, the Stockholm Workshop Scales. More information on this and HAVS is contained in HSE guidance Hand-arm vibration.10 Collectively are known as hand-arm vibration syndrome. Other names used in industry include vibration white finger, dead finger, dead hand and white finger. The severity of the vascular and neurological effects is indicated using an agreed classification system, the Stockholm Workshop Scales. More information on this and HAVS is contained in HSE guidance Hand-arm vibration.12

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Guide Schedule Part I

Disease/condition

Hepatitis

Schedule 3, Part I, Item No 18

Guidance

The likely sources of hepatitis are: Hepatitis A and E - human excreta and objects and consumables contaminated principally by excreta from people infected with hepatitis A or E virus. Hepatitis B, C and D - human blood and body fluids from people infected with hepatitis viruses B, C and D*, objects contaminated by blood and body fluids, particularly sharp objects such as used hypodermic needles, contaminated broken glassware and other items where these penetrate the skin or otherwise may act as a vehicle for transmission of infection. Other, as yet uncharacterised, forms of viral hepatitis are known to exist. * Hepatitis D virus is only infectious in the presence of concomitant or preexisting infection with hepatitis B.

Any infection reliably attributable to the performance of the work specified in item 27

27

Many minor infections such as those causing bouts of diarrhoea and respiratory complaints such as colds and bronchitis are common in the community and everyone is exposed to them. These minor illnesses cannot generally be attributed to infection contracted at work and they are generally not reportable. However, where there is reasonable circumstantial evidence, for example known contact with the infectious agent in laboratory work, a report should be made.

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Guide Schedule Part I

Disease/condition

Occupational dermatitis

Schedule 3, Part I, Item No 45

Guidance

Item 45(s) - any other known irritant or sensitising agent. A list of examples of other known irritants or sensitising agents is given in Appendix 1 of HSE Guidance Note MS24, Medical aspects of occupational skin disease,13 and further guidance is available in the references provided in the document. Dermatitis can be caused by exposure to a range of common agents found outside the workplace. If there is good evidence that the condition has been caused solely by such exposure rather than by exposure to an agent at work it need not be reported.

Occupational asthma

47

Item 47(x) - any other sensitising agent. For examples of agents reported to have caused occupational asthma see Preventing asthma at work - how to control respiratory sensitisers.14 Asthma is a common condition in the general population. If there is good evidence that the condition: (a) was pre-existing and/or; (b) has been caused solely by exposure to agents outside work; and (c) was neither exacerbated nor triggered by exposure at work; the condition need not be reported.

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Schedule Part II

Regulation 5 PART II DISEASES ADDITIONALLy REPORTABLE IN RESPECT OF OFFSHORE WORkPLACES


48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 Chickenpox. Cholera. Diptheria. Dysentery (amoebic or bacillary). Acute encephalitis. Erysipelas. Food poisoning. Legionellosis. Malaria. Measles. Meningitis. Meningococcal septicaemia (without meningitis). Mumps. Paratyphoid fever. Plague. Acute poliomyelitis. Rabies. Rubella. Scarlet fever. Tetanus. Tuberculosis. Typhoid fever. Typhus. Viral haemorrhagic fevers. Viral hepatitis.

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Schedule 4 Records

Schedule Part I

Regulation 7 PART I PARTICULARS TO BE kEPT IN RECORDS OF ANy EVENT WHICH IS REPORTABLE UNDER REGULATION 3
1 Date and time of the accident or dangerous occurrence.

2 In the event of an accident suffered by a person at work, the following particulars of that person (a) (b) (c) full name; occupation; nature of injury.

3 In the event of an accident suffered by a person not at work, the following particulars of that person (unless they are not known and it is not reasonably practicable to ascertain them) (a) (b) (c) 4 full name; status (for example passenger, customer, visitor or bystander); nature of injury.

Place where the accident or dangerous occurrence happened.

5 A brief description of the circumstances in which the accident or dangerous occurrence happened. 6 The date on which the event was first reported to the relevant enforcing authority. 7 The method by which the event was reported.

Schedule Part II

PART II PARTICULARS TO BE kEPT IN RECORDS OF INSTANCES OF ANy OF THE DISEASES SPECIFIED IN SCHEDULE 3 AND REPORTABLE UNDER REGULATION 5
1 2 3 Date of diagnosis of the disease. Name of the person affected. Occupation of the person affected.

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Schedule Part II

Name or nature of the disease.

5 The date on which the disease was first reported to the relevant enforcing authority. 6 The method by which the disease was reported.

Schedule Part III

PART III PARTICULARS TO BE kEPT IN RECORDS OF ANy INjURIES WHICH MUST BE RECORDED UNDER REGULATION 7(1)(AA)
1 2 Date and time of the accident. The following particulars of the injured person (a) (b) (c) 3 4 full name; occupation; nature of injury.

Place where the accident happened. A brief description of the circumstances in which the accident happened.

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Schedule 5 Additional provisions relating to mines and quarries


Schedule 5 Regulation 8
1 In this Schedule, unless the context otherwise requires

appropriate person means (a) in the case of a coal mine, the responsible person or a person appointed in the management structure of that mine established pursuant to paragraph (1) of regulation 10 of the Management and Administration of Safety and Health at Mines Regulations 1993; in the case of any other mine, the responsible person; in the case of a quarry (i) the responsible person, or a person appointed in the management structure of that quarry established pursuant to paragraph (1) of regulation 8 of the Quarries Regulations 1999;

(b) (c)

nominated person means the person (if any) who is for the time being nominated (a) (b) in a case where there is an association or body representative of a majority of the total number of persons employed at a mine or quarry, by that association or body; in any other case, jointly by associations or bodies which are together representative of such a majority,

to receive on behalf of the persons so employed notices under this Schedule. 2 Where at a mine or a quarry any person, as a result of an accident arising out of or in connection with work, dies or suffers any major injury, or where there is a dangerous occurrence, the responsible person shall (a) (b) forthwith notify the nominated person thereof by the quickest practicable means; and within 7 days send a report thereof to the nominated person on a form approved for the purposes of regulation 3.

3 Where there is a non-fatal injury to any person at a mine or quarry which is reported in accordance with paragraph 2, after which that person dies and his death is as a result of the accident then as soon as it comes to his knowledge the responsible person shall give notice of the death to the nominated person. 4 (1) Where there is an accident or dangerous occurrence in relation to which paragraph 2 applies no person shall disturb the place where it happened or tamper with anything at that place before

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Schedule

(a) (b)

the expiration of 3 clear days after the matter to which paragraph 2 applies has been notified in accordance with these Regulations; or the place has been visited by an inspector and by workmens inspectors exercising the powers conferred on them by section 123 of the Mines and Quarries Act 1954 or, as the case may be, regulation 40 of the Quarries Regulations 1999;

whichever is the sooner. (2) Nothing in sub-paragraph (1) of this paragraph shall prohibit the doing of anything by or with the consent of an inspector. (3) The requirements of sub-paragraph (1) of this paragraph shall not apply to an accident or to a dangerous occurrence if an appropriate person (a) has taken adequate steps to ascertain that disturbing the site (i) is unlikely to prejudice any investigation by an inspector into the circumstances of the accident or dangerous occurrence, and (ii) is necessary to secure the safety of any person at the mine or quarry or to avoid disrupting the normal working thereof; and (except in the case of a non-fatal accident or a dangerous occurrence, where the nominated person or any person designated by that nominated person pursuant to this sub-paragraph cannot be contacted within a reasonable time) has notified the nominated person, or any person designated in writing by the nominated person to receive any such notification, of the proposed disturbance, and gives such a person a reasonable opportunity to visit the site before it is disturbed; and has taken adequate steps to ensure that there is obtained such information as will enable a full and accurate plan to be prepared forthwith, which plan shall show the position of any equipment or other item relevant to the accident or dangerous occurrence immediately after it happened; and ensures that any equipment or other item relevant to the accident or dangerous occurrence is kept as it was immediately after the incident until an inspector agrees that it may be disposed of.

(b)

(c)

(d)

(4) The person who has taken the steps referred to in sub-paragraph (3)(c) of this paragraph shall ensure that the plan referred to in that sub-paragraph is signed by the person who prepared it and bears the date on which it was prepared, and that a copy of that plan is supplied on request to any inspector or to the nominated person. (5) It shall be a defence in proceedings against any person for contravening sub-paragraph (1) of this paragraph in any case which consists of the doing of any act, for that person to prove that the doing of that act was necessary for securing the safety of the mine or quarry or of any person. (6) The record kept under regulation 7, excluding any health record of an identifiable individual, shall be available for inspection by (e) (f) the nominated person; and workmens inspectors exercising the powers conferred on them by section 123 of the Mines and Quarries Act 1954 or, as the case may be, regulation 40 of the Quarries Regulations 1999.

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Schedule 6 Additional provisions relating to offshore workplaces


Schedule 6 Regulation 9 Disturbance of site
1 (1) In any case where any person, as a result of an accident arising out of or in connection with work at an offshore workplace, dies or suffers a major injury, no person shall disturb the place where it happened or tamper with anything at that place before (a) (b) the expiration of 3 clear days after the matter has been notified in accordance with these Regulations; or the place has been visited by an inspector;

whichever is the sooner. (2) Nothing in sub-paragraph (1) of this paragraph shall prohibit the doing of anything by or with the consent of an inspector or the doing of anything necessary to secure the safety of the workplace or of any person, plant or vessel.

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Schedule 7 Enactments or instruments requiring the notification of events which are not required to be notified or reported under these Regulations
Schedule 7 Regulation 10(4)
1 Title of Enactment or Instrument The Nuclear Installations Act 1965 and Orders and Regulations made or to be made thereunder. The Merchant Shipping Act 1988 and Orders and Regulations made or to be made thereunder. The Ionising Radiations Regulations 1999. The Civil Aviation (Investigation of Military Air Accidents at Civil Aerodromes) Regulations 2005. The Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 1996. The Radiation (Emergency Preparedness and Public Information) Regulations 2001. 2 Reference 1965 c.57. 1988 c.12. S.I 1999/3232. S.I 2005/2693. S.I 1996/2798. S.I 2001/2975.

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Schedule 8 Revocations and amendments


Schedule Part I 8 Regulation 15 PART I REVOCATIONS
Column 1 Title of instrument The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1985. The Reporting of Injuries, Diseases and Dangerous Occurrences (Amendment) Regulations 1989. The Offshore Installations (Inspectors and Casualties) Regulations 1973. The Submarine Pipe-lines (Inspectors etc.) Regulations 1977. Column 2 Reference S.I. 1985/2023 S.I. 1989/1457 S.I. 1973/1842 Column 3 Extent of revocation The whole Regulations. The whole Regulations.

The Railways (Notice of Accidents) Order 1986. The Offshore Installations (Amendment) Regulations 1991.

Part II and the Schedule; and the entry relating to disease in regulation 1(2). S.I. 1977/835 Regulations 5 and 6, the reference to regulations 5 and 6 in regulation 7(1) (a), and Schedule 2. S.I. The whole Order. 1986/2187 S.I. 1991/679 The whole Regulations.

Schedule Part II

PART II AMENDMENTS
1 In regulations 3(4)(c) and 7(5)(b) of the Mines (Safety of Exit) Regulations 1988 for the words Schedule 4 to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1985 there shall be substituted the words Schedule 5 to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995. 2 In regulation 17(6) of the Offshore Installations (Safety Representatives and Safety Committees) Regulations 1989 for the words after means there shall be substituted the words any death, injury, disease or dangerous occurrence which is required to be reported under the Reporting of Injuries, Diseases or Dangerous Occurrences Regulations 1995.

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Appendix 1 Contacting HSE

You can make a report: Online Go to www.hse.gov.uk/riddor and complete the appropriate online report form. The form will then be submitted directly to the RIDDOR database. You will receive a copy for your records. Telephone All incidents can be reported online but a telephone service remains for reporting fatal and major injuries only. Call the Incident Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am to 5 pm). Post RIDDOR Reports Health and Safety Executive Redgrave Court Merton Road BOOTLE Merseyside L20 7HS Do not use this address for asking general questions about RIDDOR. Advice and guidance about what must and does not have to be reported can be found at www.hse.gov.uk/riddor/what-must-i-report.htm.

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Appendix 2 Certificate of exemption


THE HEALTH AND SAFETY AT WORK ETC ACT 1974 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (S.I. 1995/3163) Certificate of Exemption No. 2 of 1996 1 Pursuant to regulation 13(1) of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (the Regulations), and being satisfied as required by regulation 13(2) of the Regulations, the Health and Safety Executive hereby exempts responsible persons from:the requirement imposed by regulation 3(1) of the Regulations to notify the relevant enforcing authority forthwith, and to send a report to the authority within 10 days, of the following dangerous occurrence (specified in Part I of Schedule 2 to the Regulations): paragraph 14; - The following incidents in respect of a pipeline or pipeline works:(a) the uncontrolled or accidental escape of anything from, or inrush of anything into, a pipeline which has the potential to cause the death of, major injury or damage to the health of any person or which results in the pipeline being shut down for more than 24 hours; the unintentional ignition of anything in a pipeline or of anything which, immediately before it was ignited, was in a pipeline; any damage to any part of a pipeline which has the potential to cause the death of, major injury or damage to the health of any person or which results in the pipeline being shut down for more than 24 hours; any substantial and unintentional change in the position of a pipeline requiring immediate attention to safeguard the integrity or safety of a pipeline; any unintentional change in the subsoil or seabed in the vicinity of a pipeline which has the potential to affect the integrity or safety of a pipeline; any failure of any pipeline isolation device, equipment or system which has the potential to cause the death of, major injury or damage to the health of any person or which results in the pipeline being shut down for more than 24 hours; or any failure of equipment involved with pipeline works which has the potential to cause the death of, major injury or damage to the health of any person:

(b) (c) (d) (e) (f)

(g)

where the pipeline is:(i) (ii) of a type described in regulation 3(1)(a), (b) or (c) of the Pipelines Safety Regulations 1996 (The Pipelines Regulations*); part of a pipeline for supplying gas which is downstream of an emergency control (gas and emergency control having the meaning given by regulation 3(5) of the Pipelines Regulations); or
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(iii)

of a type described in Schedule I to the Pipelines Regulations.

2 Where a dangerous occurrence does not require to be notified or reported by virtue of paragraph I above, the responsible person need not keep a record of that occurrence for the purposes of regulation 7(1). 3 Any word or phrase used in this Certificate has the same meaning as it does in the Regulations (save for any word or phrase in the Pipelines Regulations which shall have the same meaning as it does in those Regulations). 4 This Certificate shall come into force on 12 April 1996 and shall continue until it is revoked by the Executive.

Dated this 11th day of April 1996

Signed:

Jenny Bacon CB Member of the Health and Safety Executive.

* See Appendix 4 for extracts from the Pipelines Regulations.

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Appendix 3 Extracts from the Pipelines Safety Regulations 1996


Regulation 3(1)
(a) (b) (c) a drain or sewer: a pipe or system of pipes constituting or comprised in apparatus for heating or cooling or for domestic purposes; a pipe (not being apparatus for the transmission of information for the operation of the pipe or system) which is used in the control or monitoring of any plant.

Regulation

3(5)

In this regulation emergency control means a valve for shutting off the supply of gas in an emergency, being a valve intended for use by a consumer of gas; gas has the same meaning as it has in Part I of the Gas Act 1986.

Schedule

Pipelines to which these Regulations do not apply


1 A pipeline for the conveyance of air, water vapour or steam.

2 A pipeline for the conveyance of water, other than for the purpose of injecting water into an underwater well or reservoir containing mineral resources. 3 A pipeline contained wholly within the premises occupied by a single undertaking. 4 A pipeline which is contained wholly within land which constitutes a railway asset within the meaning of section 6(2) of the Railways Act 1993. 5 A pipeline contained wholly within a caravan site.

6 In this Schedule caravan and caravan site have the same meaning as they have in Part I of the Caravan Sites and Control of Development Act 1960.

Exemption Certificate No 1 relates exclusively to railways. Details are available in the RIDDOR guidance Reporting of Serious Incidents to HM Railway Inspectorate (available from the Office of Rail Regulation).2

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Appendix 4 References

1 For basic facts on RIDDOR, the Incident Contact Centre, and all reporting methods, see HSEs RIDDOR web pages: www.hse.gov.uk/riddor 2 Office of Rail Regulation www.rail-reg.gov.uk

3 Management of health and safety at work. Management of Health and Safety at Work Regulations 1999. Approved Code of Practice and guidance L21 (Second edition) HSE Books 2000 ISBN 978 0 7176 2488 1 www.hse.gov.uk/pubns/books/L21.htm 4 RIDDOR offshore: Reporting of Injuries, Diseases and Dangerous Occurrences Regulations Leaflet HSE33(rev1) HSE 1999 www.hse.gov.uk/pubns/offindex.htm 5 Incident-reporting in schools (accidents, diseases and dangerous occurrences) Education Information Sheet EDIS1(rev2) HSE 2012 www.hse.gov.uk/pubns/edis1.pdf 6 Report of an injury or dangerous occurrence/Report of a case of disease Form F2508/F2508A HSE Books 1996 ISBN 978 0 7176 1078 5 7 Report of flammable gas incidents Form F2508G1 HSE Books 2000 ISBN 978 0 7176 2499 7 8 Report of dangerous gas fittings Form F2508G2 HSE Books 1999 ISBN 978 0 7176 2506 2 9 Consulting workers on health and safety: Safety Representatives and Safety Committees Regulations 1977 (as amended) and Health and Safety (Consultation with Employees) Regulations 1996 (as amended) L146 (Second edition) HSE Books 2012 ISBN 978 0 7176 6461 0 www.hse.gov.uk/pubns/L146.htm 10 Reporting injuries, diseases and dangerous occurrences in health and social care: Guidance for employers Health Services Information Sheet HSIS1(rev1) HSE Books 2011 www.hse.gov.uk/healthservices/information.htm 11 The management, design and operation of microbiological containment laboratories HSE Books 2001 ISBN 978 0 7176 2034 0 12 Hand-arm vibration. The Control of Vibration at Work Regulations 2005. Guidance on Regulations L140 HSE Books 2005 ISBN 978 0 7176 6125 1 www.hse.gov.uk/pubns/books/L140.htm 13 Medical aspects of occupational skin disease Medical Guidance Note MS24 (Second edition) HSE Books 1998 ISBN 978 0 7176 1545 2

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Appendix 5 Acronyms and abbreviations


ADR BA BA BS BS (EN) BSI CAR CDG 2007 CDM CHIP/CHIP3 CLAW CORGI COSHH DO EMAS FA 1961 FLT HAVS HMRI HSC HSE HSWA ICC MHSWR REACH Accord dangereux routier (European Agreement concerning the International Carriage of Dangerous Goods by Road) Breathing apparatus Biological agent British Standard European Standard published by BSI British Standards Institution Control of Asbestos Regulations 2006 Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2007 Construction (Design and Management) Regulations 2007 Chemicals (Hazard Information and Packaging for Supply) Regulations 2002 Control of Lead at Work Regulations 2002 Council for Registered Gas Installers Control of Substances Hazardous to Health Regulations 2002 Dangerous occurrence Employment Medical Advisory Service The Factories Act 1961 Forklift truck Hand-arm vibration syndrome HM Railways Inspectorate Health and Safety Commission (merged with HSE on 1 April 2008) Health and Safety Executive Health and Safety at Work etc Act 1974 Incident Contact Centre The Management of Health and Safety at Work Regulations 1999 (as amended) Registration Evaluation and Authorisation of Chemicals

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Further information

For information about health and safety, or to report inconsistencies or inaccuracies in this guidance, visit www.hse.gov.uk/. You can view HSE guidance online and order priced publications from the website. HSE priced publications are also available from bookshops. The Stationery Office publications are available from The Stationery Office, PO Box 29, Norwich NR3 1GN Tel: 0870 600 5522 Fax: 0870 600 5533 email: customer.services@tso.co.uk Website: www.tsoshop.co.uk/ (They are also available from bookshops.) Statutory Instruments can be viewed free of charge at www.legislation.gov.uk/.

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